Twenty Years of Ozone Decline: Proceedings of the Symposium for the 20th Anniversary of the Montreal Protocol

Twenty Years of Ozone Decline Christos Zerefos • Georgios Contopoulos Gregory Skalkeas Editors Twenty Years of Ozone...

Author: Christos Zerefos | Georgios Contopoulos | Gregory Skalkeas

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Twenty Years of Ozone Decline

Christos Zerefos • Georgios Contopoulos Gregory Skalkeas Editors

Twenty Years of Ozone Decline Proceedings of the Symposium for the 20th Anniversary of the Montreal Protocol

Editors Christos Zerefos President IO3C Academy of Athens 4 Soranou Ephessiou 11527 Athens, Greece [email protected]

Georgios Contopoulos Research Center for Astronomy Academy of Athens 4 Soranou Ephessiou 11527 Athens, Greece [email protected]

Gregory Skalkeas President, Biomedical Research Foundation Academy of Athens 4 Soranou Ephessiou 11527 Athens, Greece [email protected]

Secretarial and Editorial Assistance: Eleni Christia National Observatory of Athens Greece

ISBN 978-90-481-2468-8 DOI 10.1007/978-90-481-2469-5

Seta Gazerian Academy of Athens Greece

e-ISBN 978-90-481-2469-5

Library of Congress Control Number: 2009926507 c Springer Science + Business Media B.V. 2009 No part of this work may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Cover image: Total ozone measured by GOME-2/MetOp on 29 September 2008. Image courtesy: German Aerospace Center (DLR). Printed on acid-free paper 9 8 7 6 5 4 3 2 1 Springer is part of Springer Science+Business Media (www.springer.com)

Prolegomena

Ozone is a Greek word, from “óζ ειν ” meaning smelling, selected in 1839 by Schoenbein, the inventor of gun-cotton from Basel, to characterize a gas with a peculiar odor which he discovered. Its characteristic smell is easily recognizable during electric discharges and after thunderstorms. At Schoenbein’s time many persons have experienced the sensation of a strange odour filling their house at times when the house was enveloped in discharges from a thunder cloud. That sensation of the odour goes back to the historic and pre-historic times. It was described as a “divine” smell which in Greek divine (“θ ε ι´ oν ”) has either the meaning of sulphure or of divine and this has been translated by literature scholars as sulphur’s odour. This has to be corrected in the literature and we have to recognize that since Jupiter was controlling thunder, the smelling in the environment could not have had a sulphure’s odour but a divine odour of the father of the Gods, who was controlling the discharge from a thundercloud and rain, among other things. That smelling is mentioned already in Homer’s Iliad and Odyssey, as can be read in the following (corrected) extract from the Odyssey: Then Zeus in anger bids his thunders roll, And forky lightnings flash from pole to pole. Fierce at our uncommon wrath, and wrapt in flames. Full on the bark it fell, now high, now low, Toss’d and retoss’d, it reeled beneath the blow. At once into the main the crew it shook, Divine (Sulphureous) odour rose and smouldering smoke Odyssey, Book XII, M 417 In the middle of the 1980s eminent scientists, who are present in this room, found out that this gas was following a rapid decline, which would result to less protection of life on earth from an increase in the harmful solar UV-B radiation reaching ground level. In fact, in the late ’80s scientists found out that manmade emissions of certain chemicals with wide use, have destroyed in a few decades so much of the protective ozone layer as it took nature to build in a time period of more than a billion years, in the early stages of our present atmosphere. These dramatic changes resulted to the birth of the Montreal Protocol, a Protocol created by a harmonious collaboration between scientists, industry and policy makers. It is in fact a unique and historic Protocol in the environment protection. Since its beginning on September the 16th, 1987, it has followed regular v

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Prolegomena

revisions according to new scientific findings. The Protocol, whose 20th anniversary is celebrated in this volume, aimed at reducing manmade emissions that contribute to climate change. The anniversary from the discovery of the springtime Antarctic ozone hole also marks two decades of intensified basic research in atmospheric chemistry and physics. Most of the history and progress in understanding the impact of human activities on the chemistry and physics of the global stratosphere is presented in the present volume. The harmful species to the ozone layer have been replaced by other species which, although are not harmful to the ozone layer, unfortunately they contribute to climate change. Therefore, there is a lot of room left for future collaborative actions between the Montreal and the post Kyoto Protocols. Ozone itself is affecting climate and climate is affecting ozone. The Montreal Protocol is a paradigm of success because there is now scientific evidence that chlorine levels in the stratosphere, which participate in the mechanisms destroying the ozone layer, started to decline and there are signs that ozone declining has been significantly reduced, except over the Antarctic. Unfortunately, the famous Antarctic ozone hole is still there and today at the time of our meeting is covering an area of about 25 million square kilometers which is much larger than the total area covered by all EU countries. The long-term trend in total ozone over Antarctica is about −10% per decade and over the high latitudes of the northern hemisphere is found to be close to −4% per decade, since 1979. In spite of the success of the Montreal Protocol, the ozone recovery still remains an open scientific question. Studying long-term series of careful spectral UVB measurements at Thessaloniki under clear skies and at other reference UV-B locations, one can see, for example, that the clear sky carcinogenic component of the solar radiation is increasing, in spite of the fact that the ozone layer shows a tendency to stabilize or even to increase at some locations in the northern middle and high latitudes. These findings point to the fact that, in addition to ozone, there are other factors, which interfere with solar UVB such as changes in aerosols, albedo and clouds which need further research. Therefore, it is important that the global monitoring of ozone and related species and of the harmful UVB solar radiation should continue in the decades to come. In addition, an accelerated freeze and phase-out of hydrofluorocarbons (HCFCs) will address climate change because they correspond to more than 3% of the global current greenhouse gas emissions. Before closing this Prologue, I would like to stress the fact that the length of combined global satellite ozone data sets has reached the quarter of a century, making these data sets extremely valuable for long-term monitoring of global ozone. The Montreal Protocol and its amendments led to a fast decrease of the emissions of ozone depleting substances (ODS). There is by now evidence that the effect of anthropogenic emissions of ODS peaked in the last years of the 20th century. A very slow decrease of stratospheric ODS concentrations is expected to take place in the coming decades. Assuming undisturbed climatological and physical atmospheric conditions it is expected that the ratification of the Montreal Protocol will lead to the recovery of the ozone layer. However, due to the large interannual variability connected e.g. with long-term climate variability the documentation of the turn

Prolegomena

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around of stratospheric ozone trends is a challenging task. Recovery of the ozone layer is a complex issue, which depends not only on the replacement of CFCs by other substances, but also on emissions of gases which can disturb the climate system. The present volume includes views from world leading scientists, 3 Nobel laureates, 60 scientists and representatives of international organizations and industry on science and lessons learned in the past 20 years of application of the Montreal Protocol. Many interesting aspects on ongoing ozone research are also presented, including comparisons of what has been achieved versus what would have been the state of ozone, climate and UV in the environment if the Protocol has never been in use. The volume ends with the Athens Statement which summarizes the outcome of the Symposium. Christos Zerefos President IO3C, Academy of Athens

Acknowledgment The Symposium for the 20th Anniversary of the Montreal Protocol was co organized by the Academy of Athens, the Bioacademy Research Foundation of the Academy of Athens, the United Nations Environment Programme (UNEP), the International Ozone Commission (IO3C), the World Meteorological Organization (WMO), the Mariolopoulos – Kanaginis Foundation for the Environmental Sciences and the National Observatory, Athens (NOA). The Symposium was cosponsored by the Ministry for the Environment, Physical Planning and Public Works and by the Ministry for Development Greece, the European Physical Society (EPS), OPAP and TITAN Group.

Scientific Organizing Committee Stephen O. Andersen, US Environmental Protection Agency Dimosthenis Asimakopoulos, Vice Rector, University of Athens, Greece John Austin, NOAA, USA Alkis Bais, University of Thessaloniki, Greece Dimitris Balis, University of Thessaloniki, Greece Leonard Barrie, WMO, Switzerland Pawan K Bhartia, NASA, USA Rumen Bojkov, WMO, Switzerland Geir Braathen, WMO, Switzerland Guy Brasseur, Director NCAR, USA Marie-Lise Chanin, CNRS, France Georgios Contopoulos, Academy of Athens Loucas Christophorou, Academy of Athens, Greece Ralph Cicerone, President, National Academy of Sciences, USA Paul Crutzen, Max Planck Institute, Germany (Nobel Prize)

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Prolegomena

Joe Farman, Ozone Secretariat, UK Giorgio Fiocco, University of Rome, Italy Marvin Geller, Marine Sciences Research Center, USA Sophie Godin-Beekman, Vice President, IO3C/CNRS, France Marco Gonzalez, UNEP, Nairobi Claire Granier, CNRS, France Neil Harris, European Ozone Research Coordinating Unit, UK David Hofmann, NOAA, USA Robert Hudson, University of Maryland, USA Ivar Isaksen, President, IO3C/University of Oslo, Norway Igor Karol, Voeikov Main Geophysical Observatory, Russia Hennie Kelder, KNMI, The Netherlands Stamatios Krimigis, Academy of Athens, Greece Michael Kurylo, NASA, USA Jos Lelieveld, Director, Max-Planck-Institute for Chemistry, Germany Nicolaos Matsaniotis, Secretary General, Academy of Athens, Greece Andrew Matthews, New Zealand Mario Molina, MIT, USA (Nobel Prize) Thomas McElroy, Environment, Canada Mack McFarland, DuPont Fluoroproducts, USA Jean-Pierre Pommereau, CNRS, France John Pyle, University of Cambridge, UK Sherwood Rowland, University of California, USA (Nobel Prize) Robert Sausen, DLR, Germany Gregory Skalkeas, President, Biomedical Research Foundation, Academy of Athens, Greece Johannes Staehelin, ETHZ, Switzerland Knut Stamnes, NASA Goddard Space Flight Center, USA Richard Stolarski, NASA Goddard Space Flight Center, USA Petteri Taalas, WMO, Switzerland Wei-Chyung Wang, University of Albany, USA Donald Wuebbles, University of Illinois, USA Christos Zerefos, Secretary IO3C/Academy of Athens, Greece

Local Organizing Committee Gregory Skalkeas, President, Biomedical Research Foundation, Academy of Athens, Greece Georgios Contopoulos, Academy of Athens Christos Zerefos, President IO3C/Academy of Athens, Greece Loucas Christophorou, Academy of Athens, Greece Stamatios Krimigis, Academy of Athens, Greece Dimosthenis Assimakopoulos, Vice Rector, University of Athens, Greece Alkis Bais, University of Thessaloniki, Greece Dimitris Balis, University of Thessaloniki, Greece

Contents

Prolegomena . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Part I

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Opening Ceremony

Welcome Address .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gregory Skalkeas

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Statement from the Executive Secretary for the Vienna Convention and the Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Marco Gonzalez

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Opening Address . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Georgios Souflias

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Science Inspiring Diplomacy: The Improbable Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Richard E. Benedick Part II

Keynote Speeches

Stratospheric Ozone Depletion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 F. Sherwood Rowland Atmospheric N2 O Releases from Biofuel Production Systems: A Major Factor Against “CO2 Emission Savings”: A Global View . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Paul J. Crutzen, Arvin Mosier, Keith Smith, and Wilfried Winiwarter

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Contents

Part III The Long History of Ozone Measurements and the Early Search for Signs of a Trend The History of Total Ozone Measurements; the Early Search for Signs of a Trend and an Update . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 Rumen D. Bojkov and Dimitris S. Balis The Long History of Ozone: Analyses of Recent Measurements . . . . . . . . . . . 111 Neil R.P. Harris The Long History of Ozone Measurements: Climatological Information Derived from Long Ozone Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Johannes Staehelin, Christian Vogler, and Stefan Brönnimann Part IV

Ozone Measurements

International Multi-Instruments Ground-Based Networks: Recent Developments Within the Network for the Detection of Atmospheric Composition Changes .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Sophie Godin-Beekmann International Balloon Measurements for Ozone Research .. . . . . . . . . . . . . . . . . 157 David J. Hofmann The Role of Airborne Science in the Study of Polar Ozone . . . . . . . . . . . . . . . . . 173 Michael J. Kurylo Role of Satellite Measurements in the Discovery of Stratospheric Ozone Depletion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Pawan K. Bhartia Estimating When the Antarctic Ozone Hole will Recover . . . . . . . . . . . . . . . . . . 191 Paul A. Newman, Eric R. Nash, Anne R. Douglass, J. Eric Nielsen, and Richard S. Stolarski The European Arctic Ozone Campaigns. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 Jean Pierre Pommereau Operational Monitoring of the Antarctic Ozone Hole: Transition from GOME and SCIAMACHY to GOME-2 . . . . . . . . . . . . . . . . . . . 213 Diego Loyola, Thilo Erbertseder, Dimitris Balis, Jean-Christopher Lambert, Rob Spurr, Michel Van Roozendael, Pieter Valks, Walter Zimmer, Julian Meyer-Arnek, and Christophe Lerot

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An Overview of Strategic Ozone Sounding Networks: Insights into Ozone Budgets, UT/LS Processes and Tropical Climate Signatures .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 Anne M. Thompson Global Observations—The Key to Model Development and Improved Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 Anne R. Douglass Part V

Ozone and Climate-Dynamics

The Rise and Fall of Dynamical Theories of the Ozone Hole . . . . . . . . . . . . . . . 263 Mark R. Schoeberl and Jose M. Rodriguez Investigations of Climate–Ozone Connections with Coupled Climate–Chemistry Models (CCMs): Another Step Forward . . . . . . . . . . . . . . 273 Martin Dameris Stratospheric Ozone Depletion and Tropospheric Chemistry . . . . . . . . . . . . . . 279 Ivar S.A. Isaksen, Bjørg Rognerud, Stig Dalsøren, and Amund Søvde Tropospheric Ozone Climate–Chemistry Interaction: Aspects of Climate Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Wei-Chyung Wang and Hirohisa Tanaka Metrics for Ozone and Climate: Three-Dimensional Modeling Studies of Ozone Depletion Potentials and Indirect Global Warming Potentials. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Donald J. Wuebbles, Daeok Youn, Ken Patten, Dong Wang, and Mónica Mart´ınez-Avilés Stratosphere–Troposphere Interactions in a Chemistry-Climate Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 Jos Lelieveld Winter Ozone Transport Variations and the Montreal Protocol Impact as Revealed by the Total Ozone Ground Based Measurements over the Russian Territory in 1973–2005.. . . . . . . . . . . . . . . . . . . 349 Igor L. Karol, Arkady M. Shalamyansky, Anna A. Solomatnikova, and Eugenia A. Titova Part VI

Solar Ultraviolet Measurements and Effects

Solar UV: Measurements and Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 Gunther Seckmeyer, Irina Smolskaia, Darius Pissulla, Alkis F. Bais, Kleareti Tourpali, Charoula Meleti, and Christos Zerefos

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Contents

Ozone and Ultraviolet Radiation: Informing the Public . . . . . . . . . . . . . . . . . . . . 369 C. Thomas McElroy A Contemporary Strategy for Sun Exposure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381 Brian Diffey Part VII

Initiatives – Recent Reports

Findings from the 2006 Ozone Scientific Assessment for the Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 Akkihebbal Ravishankara SPARC Science Supporting the Montreal Protocol . . . . . . . . . . . . . . . . . . . . . . . . . 393 Marvin A. Geller and Marie-Lise Chanin Part VIII

Industry and the Importance of Science to Business

How Science Guides Industry Choice of Alternatives to Ozone-Depleting Substances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407 Stephen O. Andersen, Guus J.M. Velders, and Penelope Canan The Importance of Chemical Substitutes to Chlorofluorocarbons (CFCs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429 Masaaki Yamabe Perspectives on the Roles of Science, Scientific Assessments, the Science/Policy Interface and Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439 Mack McFarland The Role of Financial Assistance by the Multilateral Fund in Technology Change to Protect the Ozone Layer .. . . . . . . . . . . . . . . . . . . . . . . . . 441 K. Madhava Sarma and Kristen N. Taddonio Part IX

Conclusion

Athens Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461 F. Sherwood Rowland, Guy Brasseur, Rumen D. Bojkov, Marie-Lise, Joe Farman, Sophie Godin-Beekmann, Marco Gonzalez, Ivar S.A. Isaksen, Igor Karol, Michael J. Kurylo, Mack McFarland, John Pyle, Richard Stolarski, and Christos Zerefos Author Index.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 465 Subject Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 467

Part I

Opening Ceremony

Welcome Address Gregory Skalkeas

Honourable Ministers of the Hellenic Government, representatives of the parties of the Opposition and the Local Government, distinguished Representatives of the United Nations Environment Programme and of the European Union, of the World Meteorological Organization, of NASA and of other International Institutions, colleagues of the Academy of Athens and of the Universities of Greece, distinguished Representatives of the Judicial, Administrative, Military and Police Authorities, esteemed Ladies and Gentlemen, we celebrate today, by organizing this International Symposium, the 20th anniversary of the historic date of September 16, 1987, when the Montreal Protocol was opened for signature, intended to counteract the grave problem of atmospheric ozone depletion, a problem with major consequences to life on Earth, while this treaty has been signed by all member countries of the United Nations. This opportunity prompts me to remind us all that it is in this small country, small in terms of territory, but possessing a great historic and cultural past, where mention was first made of the environment and its impact on the physical and mental health of Man, but also on its possible impacts to Nature. Practically all pre-Socratic philosophers, known as “physiologists” studied nature and the environment. Hippocrates, in his work “On Airs, Waters, and Places,” examines the impact of the natural environment on the health, the physical and psychological condition of human beings, as well as on the development of their character. According to him, external physical factors affect the body and cause disease. Moreover, Aristotle, in his works “Physics” and “Politics,” stresses in many points the need for protecting the natural environment and for the immediate rescue of the animal and physical beings living in that, and primarily of the one thinking being, Man, to whom first and foremost is assigned the “salvation” of all other beings. During these days of such tragedy to our country, when many mountain and rural areas seem annihilated by fire, with loss of human lives and immeasurable consequences to the environment but also to the country’s economy, such a Symposium G. Skalkeas President of the Biomedical Research Foundation of the Academy of Athens, Academy of Athens, Greece e-mail: [email protected]

C. Zerefos et al. (eds.), Twenty Years of Ozone Decline, c Springer Science+Business Media B.V. 2009

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G. Skalkeas

on environmental issues attains particular merit. In our times, the amazing progress of science and technology serves to continuously improve the living conditions of people across the globe but unfortunately, it also brings about dangerous impacts to the environment and to man, among which is the depletion of the ozone layer. However, should the blame for these effects be placed upon that great power that is Technology, or upon Man, who directs its beneficial or perilous application? I believe that the commitment of the scientist to the noble ideals of humanitarianism, which place Man as their primary focus, could be the only force that could stop such dangerous misuse. It is, therefore, imperative that any decision made should not discount the fact that the human being constitutes the ultimate value of life, one which may not be put aside to service contemporary consumer goods of the materialistic society in which we live today. Otherwise, I fear that we currently see the confirmation of Nietzsche’s saying on the revaluation of values. The responsibility borne by the scientist who produces knowledge is grave, should he fail to predict and warn against the dangers which could conceivably arise from its application. For that reason, it is necessary that any scientific achievement be examined with conscious responsibility, not only as a cognitive or material achievement, but also in terms of whether its application will prove beneficial, detrimental, or even catastrophic to nature and to man, to the exclusion of any selfishness, arrogance, or profit-seeking. Scientists, entrepreneurs and, above all, the politicians who bear the ultimate responsibility, are required to direct technology to the correct path, one that will avoid environmental disaster and adverse consequences to human beings, even if that entails negative effects to the economy. Ladies and Gentlemen, I do not rank among those scientists, who study the environment, but I have the utmost faith in the importance of its protection, and to that end I make every conceivable effort. In our Research Foundation within the Academy of Athens, I should like to inform you that there operates a fully equipped Environmental Health Institute (seat of the Hellenic General Insurance Company) which monitors environmental changes round-the-clock via satellite connection. This Research Center of the Academy of Athens is headed by the Professor and Full Member of the Academy of Athens, Christos Zerefos. Deer esteemed Delegates from abroad I feel the need to express my thanks for your participation. Your high scientific and academic standing ensures the success of this symposium. On behalf of the Organisation Committee, I wish you a pleasant stay in the city of Palas Athena. The tradition of Xenios Zeus, patron god of hospitality to strangers, remains very much alive in the consciousness of modern Greeks.

Statement from the Executive Secretary for the Vienna Convention and the Montreal Protocol Marco Gonzalez

Distinguished Members of the International Ozone Commission Distinguished Members of Industry, Research Institutes and Universities. Ladies and gentlemen, Good afternoon to all, First of all I would like to share with you some of the results of the 19th Meeting of the Parties to the Montreal Protocol on Substances that Deplete the Ozone Layer that ended yesterday at midnight in Montreal, Canada. I do it in an attempt to kindly request for apologies to Mr. Christos Zerefos, President of the Organizing Committee, to the Board of the International Commission of Ozone and to all of you for not being able to be with you this morning at the Opening of this commemorative Seminar to celebrate the 20th Anniversary of the Montreal Protocol. But I have one important reason to attenuate my delayed arrival, I am bringing with me the extraordinary good news that the Parties had agreed to further strengthen the Montreal Protocol by adjusting and accelerating the phase-out schedule of Hydrochloroflurocarbons (HCFCs), to precisely transition out of them at an earlier date. The 191 Parties to the Montreal Protocol reached a historical agreement to strengthen the Protocol on both considerations of protecting the ozone layer and further reducing the emissions of greenhouse gases. The decision advances by 10 years the phase-out of HCFCs, introduces a base line to cap its growth, as well as intermediate reduction steps to minimize the negative effects of those chemical both to the ozone layer and to climate change. The Parties to the Montreal Protocol have once again demonstrated their full political commitment to protect the ozone layer, and success was achieved by a big coalition of developed and developing countries alike committing to an accelerated phase out schedule of HCFCs to also fully realize additional contributions to mitigate climate change. Now, with your indulgence, I would like to turn back to my presentation. Which will be focused on the main lessons learned, some of the many achievements and challenges of the Protocol to date: M. Gonzalez Director, UNEP, Nairobi, Kenya e-mail: [email protected]


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M. Gonzalez

Since its adoption, 20 years ago, the evolution of the Montreal Protocol on Substances that Deplete the Ozone Layer, has been both inspiring and exemplary. Over these years, thousands of individuals and institutions connected to the ozone layer have worked with passion, commitment, and missionary zeal to protect the ozone layer. Distinguished participants, before proceeding further in my brief presentation, I would like to quote the message of the Secretary General of the United Nations, Mr Ban Ki-moon on the occasion of our celebration: “I quote: ‘The success of the MP shows us that there are global instruments that can curb the impact of human activities on the global environment’. We should draw lessons from this experience, and strive to replicate it” end of quote.

One of the signatures of the Parties to the Protocol have been their flexibility. This political attitude has been a major factor behind the effectiveness of the Treaty. In light of new understandings of science, the Protocol has been amended and/or adjusted nine times. In taking these actions, the Parties have consistently followed scientific advice and promoted technology innovation in a virtuous circle: new findings leading to a swift political response which further promoted new technology options. The role of science in this process cannot be overstated. The Montreal Protocol has been driven by Science both during the political negotiations leading to the adoption of the Ozone Treaties and its implementation; new scientific or technological findings have played a vital role in every mayor milestone of this global partnership. Along with this knowledge-base virtuous circle, the Parties have developed an inclusive institution that host the participation of governments, industry, academia, and civil society to deliver real-time information on science and technological feasibility. The Parties have also developed a strong, cost-effective funding mechanism that has, among other things, supported the creation of over 140 ozone units of unsurpassed experience and expertise. I believe that these units, which share information, knowledge and support each other in their day to day operation through the Ozone Networks, are also one of the enduring legacies of the Protocol experience. Indeed, it is this effort that spawned the global ozone partnership, and created a culture of compliance, compliance that breeds success. The parties to the Protocol have developed this culture of compliance by establishing achievable goals, and demonstrating time and again the will to ensure that they are met. And it is this culture, and the related confidence of the Parties, that has enabled the Protocol to move forward on a continuous path of achievements. Throughout this immense undertaking, the Parties have developed a step-by-step approach that has targeted 96 ozone depleting substances in around 250 industry sectors, and in more than 1,000 applications, and put them on a clear phase-out schedule. In developed countries, consumption has dropped by over 99%, and in developing countries, over 70% from their baseline consumption and production figures. In the aggregate, the 191 Parties to the Protocol have achieved a reduction of over 90% and the latest atmospheric measurements predict a recovery of the average ozone layer to pre-1980 values by about the middle of this century.

Statement from the Executive Secretary for the Vienna Convention

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In recognizing the achievements of the ozone protection regime, we must also stress that the job is not yet complete and Parties must redouble their efforts to sustaining the drive to protect the Ozone Layer and address the challenges ahead. First and foremost, science tells us that unless the Parties complete of their work by phasing out the remaining consumption and production ODS and secure to sustain the gains so far made, the ozone layer may not be fully healed. The phasing out of the remaining ozone depleting substances, including HCFCs, and others contained in equipment and buildings do represent a challenge. Science confirms that further actions in this front would significantly support efforts to mitigate climate change and restore the ozone layer. One key challenge in this battle relates to the scientific uncertainty associated with the interactions of climate change and ozone depletion, and the potential impact that the two atmospheric processes may have on one another. While the Ozone Treaties have been very successful phasing out consumption and production of ozone depleting substances and in so doing have become one of the mayor contributors to protect the global climate, there seems to be a need to consider carefully how we are going to ensure the essential monitoring of the ozone layer out into the future. Continued observation of the atmosphere through satellite missions and ground-based stations is vital to monitoring the expected recovery of the ozone layer and the complex interlinkages of this process with the global climate. It is my hope that Parties to the Vienna Convention for the Protection of the Ozone Layer and its Montreal Protocol will renew their commitment to this important work, and consider the necessary actions leading to the launching of new satellite missions to fill future gaps, and the commissioning and maintenance of new and existing groundbased monitoring stations. It is only through actions such as these that we will be able to ensure that systematic observations and research activities are continued in the robust manner needed to address our future challenges. The existence of controlled versus uncontrolled uses of ozone depleting substances creates perverse incentives to profit from illegal trade. Governments must redouble their efforts to implement all of the Protocol’s provisions as well as effective controls to address this illegal activities that can undermine the success achieve so far. There is a serious challenge that the Parties to the Montreal are assessing carefully: the need to keep political commitment, monitoring and research activities, and industry engagement in developing ozone friendly and energy efficient alternatives while climate change impacts global environmental priorities. These amongst others, are substantive challenges that bring with them significant opportunities to further protect the global environment, the Parties to the Montreal Protocol have swiftly acted to address these challenges, the decisions taken just 2 days ago reflect their vision and commitment to not only protect the ozone layer but also to continue their efforts to contribute to combat climate change. It is hoped that additional actions will further contribute to address the challenges identified as we move into the third decade of the Montreal Protocol. In concluding distinguish participants, The Montreal protocol has undergone many political, scientific, technological and economical challenges, has seen many

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negotiations addressing conflicting views, has witnessed a myriad of individuals and institutions creating and strengthening a culture of success to protect the ozone layer; their efforts are demonstrating to the world that global action to protect the environment is not only possible in some distant time frame—it is happening today as we celebrate the 20th Anniversary of the Montreal Protocol. Finally, I wish to thank you for all your contributions to ensure the protection of the ozone layer and in particular I would like to recognize all the efforts of the organizing committee to commemorate the 20th anniversary of the Montreal Protocol with this excellent seminar in this beautiful and historic city of Athens.

Opening Address Georgios Souflias

Ladies and Gentlemen, it is my great pleasure to welcome you in Athens and at the International Symposium on the subject “Depletion of the Protective Ozone Layer,” organized by the Institution of Biomedical Research of the Athens Academy, the National Observatory of Athens, and other distinguished co-organizers, on the occasion of the celebration of 20 years since the Montreal Protocol was signed, a Protocol which is generally accepted to be a model of an international environmental agreement. It is also a great pleasure for me to welcome distinguished scientists, such as Crutzen, Molina, and Rowland, who have been awarded the Nobel Prize. Their pioneer research has led to the initial observation of the depletion of the ozone layer and to the mobilization of the international community, in order to adopt measures for its protection. At this point, I would like to praise also the role of Greek scientists that have actively participated, and were among the first ones to do so, both in the research of phenomena, and in the effort of the initial implementation and further to the improvement of the Montreal Protocol. Today, environmental issues are at the core of the international community interest. Particularly issues such as how human activities affect the ozone depletion and climate changes now preoccupy and give cause for concern to governments, the scientific community and, of course, sensitised citizens themselves. Man today has started realizing that he cannot remain indifferent towards the environment. The environment is his home. The environment does not only provide people a better quality of life, but life itself. And that, therefore, it is his duty not to harm it, as he has been doing for centuries, but take care of it and protect it. This awakening is the condition for the mobilisation of human society for the avoidance of actions that harm the environment, for the adoption and implementation of rules of protection and improvement of the environment. The environment protection is recognized today as a fundamental human right by Article 37 of the Charter of the European Union, which provides that “a high level of environmental protection and the improvement of the quality of the environment G. Souflias Hellenic Minister for the Environment, Physical Planning and Public Works Athens, Greece e-mail: [email protected]


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must be integrated into the politics of the Union and ensured in accordance with the principle of sustainable development.” It is now a condition for survival for all of us holding positions of authority–and through ourselves for the international society of citizens–to realize that each activity has to be done in absolute respect of the environment. And this one is a universal principle. Because, nowadays, we have all understood that, something happening in one country affects the other countries as well. Problems are universal, and consequently the solutions must be ecumenical. Such a model of universal response to the problems is the Montreal Protocol. It was agreed upon and executed when the international community started realizing how pressing the great problem of the depletion of the protective ozone layer is for the survival itself of mankind and our civilisation. Its implementation by the 191 signatory countries has substantially contributed to avert further depletion of the ozone layer, while there are indications that the recovery of the layer is feasible in a fifty year perspective. At the same time, the Protocol has greatly contributed to confronting the climate change and continues to evolve in order to reliably face future challenges. It is, however, important that the international community further intensifies its efforts for the acceleration of the dates of progressive ban of dangerous substances, such as the hydrochlorofluorocarbons, ensuring at the same time their replacement by alternative ozone and climate friendly solutions. The European Union, that is a pioneer in environmental protection issues, has already taken a big step in this direction. Greece ratified the Montreal Protocol at the end of 1988 and, since, the effort has been continuous, in order to achieve the targets as to the production and consumption of controlled substances, according to the Protocol, and also pursuant to Regulation 2037/2000 of the European Union, which has created a more specific and strict framework for the timely and reliable implementation of the Protocol on Europe. The European Union and its member states play a leading role in the success of the Protocol. Our country is actually fully compliant to its international and European obligations that result from the Protocols of Montreal and Kyoto. At the same time, Greece holds the most long-term time series of measurements of ultraviolet radiation in clear skies, from 1982 until today, out of which the depletion of the ozone layer has been proved. It also participates therein through the establishment of measurement stations in the Universities of Athens and Thessaloniki and the Athens Academy. It also participates in international fora for the revision of the Montreal Protocol. Furthermore, Greece, along with the other member states of the European Union, has given an end to the use of the most ozone destructive substances, such as the chlorofluorocarbons, contained in sprays and refrigerators, at an early stage. Moreover, as Ministry for the Environment, we implement an integrated policy in order to address the climate change, through a series of measures concerning: the reduction of greenhouse gas emissions by the industries, the review of the National Program for Climate Change, the promotion of Renewable Energy Sources, the

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implementation of business plans for the confrontation of pollution in large cities, the promotion of natural gas, saving of energy, etc. At this point, I would like to reiterate what I said earlier: that the Montreal Protocol constitutes a model of universal cooperation. Regretfully, the same cannot be stated for the Protocol of Kyoto. This is due to the fact that, while in the Montreal Protocol countries participate actively and decisively, the same does not apply for the Kyoto Protocol. And this is not only sad, but also dangerous for the planet and our future. It is necessary that we all realize that the climate change problems that we are facing can only be confronted by international cooperation. It is also necessary to find a formula, in order for what is needed for the effective confrontation of the climate change problem to be applied by everyone. The international intellectual and scientific community—and I am now referring to leading scientists—must demand of all countries to participate actively in facing the greenhouse effect, just like it happened with the Montreal Protocol. I would also like to emphasize one more thing: In order to restore the climate, it is necessary to impose managerial measures, such as reduction of pollution, but these will not be sufficient. It is imperative to change the lifestyle and behaviour of modern man. This is a responsibility of the entire society, which, however, has to be guided by initiative of its physical leaders, the political and intellectual leaders. We all, breathing on this planet today and having the potential, must guarantee its future, rapidly and decisively. We have no right to delay; we have no luxury of losing time. The twenty years of successful course of the Montreal Protocol are a source of optimism, but also reminds us that our actions have to be continuous. The role of the scientific community has never been as important, so much for its predictions, as well as for the submission of proposals, for the further review process of the Protocol. Today, 20 years after the Montreal Protocol, it is everyone’s desire to announce more pleasant news. We know, however, that the way to achieve this goal is a long one. But we can all be optimistic. Because, as the presence of all of you today proves, the international scientific community is in awareness, giving hope for better knowledge and protection of our fragile atmospheric environment. The Greek State supports the common effort by all its means and we expect that the conclusions of today’s symposium will render the international community richer in knowledge and more ready to fight the depletion of the ozone layer. We believe in you and expect a lot from you. With these thoughts, I declare the opening of the works of the Symposium, the outcomes of which is anticipated with a particular interest, by my country and by the International Community. I wish you every success and pleasant stay in historical Athens.

Science Inspiring Diplomacy: The Improbable Montreal Protocol Richard E. Benedick

I would like to thank Dr. Christos Zerefos for the opportunity to return to this beautiful country, where I once served as an American diplomat several years before I became the chief US negotiator for the Montreal Protocol. I am particularly honored to speak at the Academy of Athens, and feel awed to be in the company of so many of the world’s most influential scientists, who contributed immeasurably to the extraordinary success of this historic treaty. Many of these renowned scientists are now personal friends, who became my mentors and associates during the complex negotiations to protect the fragile and endangered stratospheric ozone layer. I am particularly grateful to Dr. Zerefos for generously assigning me the task of expounding the history of the Montreal Protocol in just 15 minutes. But I suppose that for an ancient civilization like Greece, the matter of time—whether 20 years or a quarter-hour—is not so important. I only hope that Dr. Zerefos will not stand behind me with a klepsydra—the ancient water clock that was used to time Athenian orators in the Agora—ready to pour water on me when my time is up! This time-challenge also reminds me of the British theater company that offered to present the complete works of William Shakespeare in one hour. Actually, I think that it is no exaggeration to consider that the Montreal Protocol – with all the science, technology, and diplomacy that made it possible—is, like Shakespeare’s plays, a high point in civilization. Future historians may well rank the international agreement to protect the stratospheric ozone layer with such landmarks in human progress as the invention of the printing press or the exploration of space. The ozone treaty was not simply another diplomatic success story. The heads of the World Meteorological Organization (WMO) and the United Nations Environment Programme (UNEP) wrote that the Montreal Protocol is “one of the great international achievements of the twentieth century” (Dowdeswell & Obasi 1995). Considering the grave threats to all life on Earth that were averted by this remarkable treaty, it would be difficult to challenge their judgment as hyperbole. You may wonder why I titled my address today the “improbable” Montreal Protocol. Ladies and gentlemen, the ozone accord was not inevitable. In the 1980s, no R.E. Benedick Joint Global Change Research Institute, Maryland, US e-mail: [email protected]


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gambler would have wagered that the world’s nations would ever agree to eliminate dozens of extremely useful chemicals that were virtually synonymous with modern standards of living. Chlorofluorocarbons (CFCs) and the related halons seemed to be perfect man-made chemicals. They are extremely stable, nontoxic, nonflammable, noncorrosive, and inexpensive to produce—all qualities that made them uniquely suited for a myriad of consumer and industrial applications. Over the years, they found more and more uses in thousands of products and processes—from food processing and aerospace to pharmaceuticals and telecommunications (Alliance for Responsible CFC Policy 1985). The scientific, economic, technological, and political issues involved in the negotiations were staggeringly complex. Billions of dollars in international investment and hundreds of thousands of jobs worldwide were involved in production and consumption of CFCs and halons. Governments in Europe, Japan, and the Soviet Union initially collaborated with powerful economic interests in adamant opposition to controls over these multifaceted chemicals. They insisted that technological alternatives were nonexistent, too costly, or unfeasible. Epitomizing the close industry-government linkages, company executives even served on government delegations—indeed, during the negotiations we actually discovered an official European Union instruction drafted on the letterhead of France’s Atochem. Most other governments at the time were either unaware of, or indifferent to, an arcane danger occurring far above Earth’s surface. As one diplomat from a large developing country chided me early on in the negotiations: “Rich man’s problem – rich man’s solution!” The Montreal Protocol negotiators thus confronted formidable political and economic obstacles. Although the theoretical dangers of ozone depletion could touch every nation and all life on earth, they were far beyond politicians’ normal time horizons. Moreover, the potential consequences could neither be measured nor predicted with certitude as the diplomats began their work. The concept was not at all obvious: a perfume spray used in Paris could destroy a remote gas in the stratosphere and thereby cause skin cancer deaths and species extinctions half a world distant and several generations into the future? The proposed treaty would unquestionably inflict substantial near-term economic costs solely in order to prevent speculative future dangers—dangers that rested on scientific theories rather than on proven facts. (Crutzen 1970; Molina and Rowland 1974; Cicerone & Stolarski 1974; World Meteorological Organization 1986) The science itself was based on projections from still-evolving computer models of imperfectly understood atmospheric phenomena. And the models yielded varying and sometimes contradictory results each time they were refined. For example, measurements of dangerous ultraviolet radiation reaching Earth’s surface at that time actually showed a slight reduction rather than the predicted increase—only later was it realized that this was a transitory consequence of lowlevel air pollution that was filtering out the radiation (Scotto 1988). Moreover, the projections of future ozone layer destruction rose and fell with each new scientific study—from about 19% in a 1979 report to only 3% in 1983 (Brasseur & Solomon 1984; National Research Council 1983). Ideological opponents of

Science Inspiring Diplomacy: The Improbable Montreal Protocol

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environmental controls within the Reagan Administration—who in early 1987 tried unsuccessfully to reverse the US position and have me fired—seized on this “trend” and said that soon Benedick and other “doomsayers” would claim that there is now too much stratospheric ozone and propose even more expensive measures to reduce the ozone layer! During the protocol negotiations, even the famous “ozone hole” over Antarctica was considered by many scientists to be an anomaly, since it did not conform to the theoretical ozone depletion models and could possibly have been caused by some other factor than CFCs (Farmer et al. 1985; Solomon 1988; Stolarski 1988; U.S. Environmental Protection Agency 1987). The true story of this “improbable” Montreal Protocol offers important lessons for addressing future complex environmental problems, most notably climate change. First and foremost, unquestionably the indispensable element in the success of the ozone treaty was the role of science and scientists. Absent the curiosity and courage of a handful of remarkable scientists—many of whom will speak to you in the course of this symposium—the world would have learned too late of the hidden dangers from the rapidly expanding use of CFCs and halons. And yet, the early theories of the Nobel Laureates and others in this hall today were greeted thirty years ago by a firestorm of controversy and denial. While my own book on the Montreal Protocol is entitled Ozone Diplomacy (Benedick 1991, 1998), the first book on the subject, published 10 years earlier, bore the apt title The Ozone War (Dotto & Schiff 1978). Notwithstanding the initial controversy, the serious potential dangers did prompt a wave of innovative scientific research over the ensuing years, which greatly influenced the treaty negotiations. It would be difficult to exaggerate the complexity of this research effort. Ozone itself amounts to considerably less than one part per million of the total atmosphere, with 90% of it located 10 km or more above Earth’s surface. The intrinsically unstable ozone molecules are continually being created and destroyed by complex natural forces involving solar radiation and interactions with even more minute quantities of other gases. Adding to the analytical difficulties, stratospheric ozone concentrations can fluctuate on a daily, seasonal, and solar-cyclical basis, and there are significant geographical as well as altitudinal variations (Rowland et al. 1989; Brasseur & Simon 1988; World Meteorological Organization 1986). Amidst all of these fluxes, scientists faced formidable challenges in predicting, not to mention detecting, the minuscule “signal” of the beginning of a possible longterm downturn in stratospheric ozone as postulated by the theory. This necessitated the development of ever more sophisticated computer models to simulate the stratospheric interplay among radiative, chemical, and dynamic processes such as wind and temperature—all for decades and centuries into the future. In addition, intricate observation and measuring devices had to be created, miniaturized, and fitted onto aircraft, satellites, and rockets to monitor remote gases in quantities as minute as parts per trillion. Without modern science and technology, the world would have remained unaware of an ozone problem until it was too late. Indeed, science became the driving force behind the Montreal Protocol. To fully understand the implications of a diminishing ozone layer, scientists had to venture far beyond atmospheric chemistry. They had

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to examine our planet as a system of interrelated physical, chemical, and biological processes on land, in oceans, and in the atmosphere—processes that are themselves influenced by economic, political, and social forces. The Montreal Protocol thus became a truly multi- and interdisciplinary effort. Over the years, researching the dangers and solutions engaged not only chemists and physicists, but also meteorologists, oceanographers, biologists, oncologists, botanists, toxicologists, epidemiologists, engineers, economists, and many other disciplines. The formation of a commonly accepted body of data and analyses and the narrowing of ranges of uncertainty were prerequisites to a political solution among initially widely separated national interests. In effect, a community of scientists from many nations, dedicated to scientific objectivity, developed through their research a common concern for protecting the planet’s ozone layer that transcended divergent national allegiances. The close collaboration between scientists and key government officials ultimately prevailed over narrow commercial and ideological interests. While governments had an obligation to fund relevant research, scientists for their part accepted an unaccustomed responsibility to analyze the implications of their findings for alternative policy strategies. Unlike prior environmental agreements, the Montreal Protocol was not a response to existing conditions, but rather preventive action on a global scale. By the time the evidence on issues such as ozone layer depletion and climate change is beyond dispute, the damage could be irreversible. It would be too late to avoid serious harm to human life and the environment as well as draconian future costs to society. Thus, political leaders need to act even while there are still scientific ambiguities and uncertainties, based on a responsible balancing of the risks and costs of delay. In 1987, President Ronald Reagan overruled some of his closest ideological allies and personally approved the US position for strong controls; later, in signing the treaty, he characterized the Montreal Protocol as “a monumental achievement of science and diplomacy” (Reagan 1988). In contrast to traditional treaties that are based on an agreed static solution, the Montreal Protocol was, because of the still evolving science, deliberately designed to be a dynamic and flexible process. The protocol could be reopened and, if necessary, revised as needed on the basis of regularly scheduled scientific and technological assessments by independent panels reporting back to the annual Meeting of Parties. As new evidence was uncovered by scientists, the treaty could be adapted to evolving knowledge. The prudence of this approach was vindicated when the scientific models later turned out to have actually underestimated prospective ozone depletion. The Montreal Protocol was, in fact, continually amended to strengthen controls, tighten deadlines, and cover more ozone-depleting substances. Just last week in Montreal, at the 20th anniversary celebration of the treaty, the protocol was again significantly revised. Hydrochlorofluorocarbons (HCFCs) are effective substitutes for CFCs because of their low influence on ozone, but they are also highly potent greenhouse gases. In an historic recognition of the linkage between the ozone treaty and the Kyoto Protocol on climate change, the Montreal


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signatories agreed last week to significantly accelerate the phaseout of HCFCs in order to reinforce efforts to mitigate climate change. (Benedick 2007b) Recognizing the critical importance of the independent ozone panels, I and others proposed in the summer of 1987 to create a new centralized international scientific body to perform a similar service for the climate change issue. This was the origin of the Intergovernmental Panel on Climate Change, which has performed so effectively since 1988 in its periodic assessments of the science and policy implications of climate change. But another lesson from the Montreal Protocol appears to have been lost in the climate negotiations: the 1986–1987 ozone meetings, which produced the first and most innovative breakthroughs, were remarkably small in attendance and short in duration by today’s standards. The first 1-week negotiating round in 1986, for example, was attended by merely 20 nations and three nongovernmental organizations (NGOs). Just 9 months later, at the decisive 1987 Montreal conference, there were still only about 60 national delegations. (Benedick 1998, pp. 68–76) Contrast this with subsequent United Nations global environmental megaconferences and negotiations on climate change. Several thousand official delegates from over 190 nations, together with hundreds of NGO and media representatives, have come together every year since 1995 for 2-week negotiating conferences that most resemble a medieval trade fair. Many governments send over 100 delegates to Kyoto Protocol negotiations—more than the total number of participants from all countries at the ozone meetings that accomplished such historic breakthroughs 20 years ago. In addition, legions of NGO observers stage dramatic and sometimes rowdy demonstrations at the climate conferences, generating newsworthy police interventions. The omnipresent global media seek statements from sleep-deprived officials after all-night working sessions. Indeed, the atmosphere at contemporary global negotiations seems to place a premium on short-term political sound bites rather than on sober reflection and reasoned debate of very complex scientific, economic, and policy issues. Yet, there is no law that every aspect of a complicated scientific and environmental problem must be addressed by every nation at the same time and in the same place. This is particularly true for the climate change negotiations, since in reality only 24 nations (half of them “developing” countries) together account for about 80% of global greenhouse gas emissions, while the remaining 170 nations each contribute less than a fraction of one percent (Baumert et al. 2005). Clearly this is one lesson from the Montreal Protocol history that has not been learned. For this reason, I have recommended that we disaggregate the climate negotiations into separate components, such as research and development of new energy technologies, coordinated government procurement policies, sectoral emissions-reduction policies (e.g., transportation), adaptation measures, etc. We should encourage small groups of countries to work together in smaller forums, possibly with participation of local governments and industry as appropriate, to create partial solutions: “an architecture of parallel regimes” (Benedick 2007a). Ultimately, it seems to me that the ozone treaty has defied the efforts of a generation of academics to produce connect-the-numbers guides to successful global

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negotiations. Although it can be useful retrospectively to analyze negotiating factors and techniques, the real negotiations are both richer and more treacherous than academic models. One can offer some “lessons,” but there is no guarantee that things will work out. Impasses are not always destined to be resolved. A crucial intangible factor is leadership, both by governments and by individuals. Individuals can make a surprisingly significant difference in the course of long and difficult negotiations. From the overall leadership on ozone provided by UNEP’s Mostafa Tolba (with his credo of “Start and Strengthen”), to the roles of individual scientists, negotiators, environmentalists, and industrialists, it was personal ideas, decisions, and actions at critical moments that determined the successful outcome. Ultimately, diplomacy still remains more of an art than a science. Much depends on serendipity, and on the right people being in the right place at the right time. In conclusion, in the realm of international relations there will always be resistance to change, and there will always be uncertainties—scientific, political, economic, psychological. Faced with a new generation of global environmental threats, governments must act even while some major questions remain unresolved. In achieving the Montreal accord, consensus was forged and decisions were made on a balancing of probabilities—and the risks of waiting for more complete evidence were ultimately deemed to be too great. In the real world of ambiguity and imperfect knowledge, the Montreal Protocol will hopefully prove to be the forerunner of an evolving partnership between scientists and policy makers, as sovereign nations seek ways to deal with uncertain dangers while accepting common responsibility for stewardship of planet Earth. Finally, I predict that future generations, when they commemorate the thirtieth— the 50th—the 100th!—anniversary of the historic Montreal Protocol, will look back at the work of the people in this hall today, and the work of many others whom we represent: scientists and engineers, diplomats and public officials, entrepreneurs and civic leaders—who together created an inspiration to humanity to defend and preserve our environment, on which all life depends. Thank you very much – Efkharisto poli!

References Alliance for Responsible CFC Policy. (1985). An economic portrait of the CFC-utilizing industries of the United States (pp. 10–11). Rosslyn, VA. Baumert, K. A., Herzog, T., & Pershing, J. (2005). Navigating the numbers: Greenhouse gas data and international climate policy (p. 12). Washington: World Resources Institute. Benedick, R. E. (1991, rev. ed. 1998). Ozone diplomacy: New directions in safeguarding the planet. Cambridge, MA: Harvard University Press. Benedick, R. E. (2007a). Avoiding gridlock on climate change. National Academy of Sciences: Issues in Science and Technology, Winter 2007, 37–40. Benedick, R. E. (2007b). Moving on from Montreal. Guardian Unlimited (UK), September 16, 2007. Brasseur, G., & Simon, P. (1988). Changes in stratospheric ozone: Observations and theories. Astronomica Acta, A-no.334, 9–11.


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Brasseur, G., & Solomon, S. (1984). Anatomy of the middle atmosphere. Hingham, MA: D. Reidel. p. 410. Crutzen, P. J. (1970). The influemce of nitrogen oxide on the atmospheric ozone content. Quarterly Journal of the Royal Meteorological Society, 96, 320–325. Dotto, L., & Schiff, H. (1978). The ozone war. Garden City, NY: Doubleday. Dowdeswell, E., & Obasi, G. O. P. (1995). Foreword. In R. Bojkov (Ed.), The changing ozone layer. Geneva: World Meteorological Organization and United Nations Environment Programme. Farmer, J. C., Gardiner, B. G., & Shanklin, J. D. Large losses of total ozone in Antarctica reveal seasonal ClOx /Nox interaction. Nature, 315, 207–210. Molino, M. J., & Rowland, F. S. (1974). Stratospheric sink for chlorofluorocarbons: Chlorine atomic catalyzed destruction of ozone. Nature, 249, 810–12. Reagan, R. (1988). Statement April 15, 1988; reprinted in President signs protocol on ozonedepleting substances. Department of State Bulletin, June 1988, 30. Rowland, F. S. (1989). Chlorofluorocarbons and the depletion of stratospheric ozone. American Scientist, 77, 37–39, 41–43. Scotto, J. (1988). Biologically effective ultraviolet radiation: Surface measurements in the United States, 1974–85. Science, 239, 762–764. Solomon, S. (1988). The mystery of the Antarctic ozone hole. Reviews of Geophysics, 26(1), 144– 146. Stolarski, R. S. (1988). The Antarctic ozone hole. Scientific American, 258(1), 35–36. Stolarski, R. S., & Cicerone, R. J. (1974). Stratospheric chlorine: A possible sink for ozone. Canadian Journal of Chemistry, 52, 1610–15. United States Environmental Protection Agency. (1987). Protection of stratospheric ozone. Federal Register 52, 239, 749. World Meteorological Organization. (1986). Atmospheric ozone 1985: Assessment of our understanding of the processes controlling its present distribution and change. Geneva: WMO.

Part II

Keynote Speeches

Stratospheric Ozone Depletion F. Sherwood Rowland

Abstract Solar ultraviolet radiation creates an ozone layer in the atmosphere which in turn completely absorbs the most energetic fraction of this radiation. This process both warms the air, creating the stratosphere between 15 and 50 km altitude, and protects the biological activities at the Earth’s surface from this damaging radiation. In the last half-century, the chemical mechanisms operating within the ozone layer have been shown to include very efficient catalytic chain reactions involving the chemical species HO, HO2 , NO, NO2 , Cl and ClO. The NOx and ClOx chains involve emission of stable molecules in very low concentration at the Earth’s surface (N2 O, CCl2 F2 , CCl3 F, etc.), which wander in the atmosphere for as long as a century before absorbing ultraviolet radiation and decomposing to create NO and Cl in the middle of the stratospheric ozone layer. The growing emissions of synthetic chlorofluorocarbon molecules cause a significant diminution in the ozone content of the stratosphere, resulting in more solar ultraviolet-B radiation (290–320 nm wavelength) reaching the surface. This ozone loss occurs in the temperate zone latitudes in all seasons and has been drastic since the early 1980s, especially in the south polar springtime—the ‘Antarctic ozone hole’. The chemical reactions causing this ozone depletion are primarily based on atomic Cl and ClO, which is the product of its reaction with ozone. The further manufacture of chlorofluorocarbons has been banned by the 1992 revisions of the 1987 Montreal Protocol of the United Nations. Atmospheric measurements have confirmed that the Protocol has been very successful in reducing further emissions of these molecules. Restoration of the stratosphere to the ozone conditions of the 1950s will occur slowly over the rest of the twenty-first century because of the long lifespan of the precursor molecules. Keywords Antarctic ozone hole · chlorofluorocarbons · Montreal Protocol · ozone depletion · stratosphere · ultraviolet

F.S. Rowland Department of Chemistry and Department of Earth System Science, University of California Irvine, Irvine, CA 92697, USA e-mail: [email protected]


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Introduction Homer speaks of lightning bolts after which ‘a grim reek of sulphur bursts forth’ and the air was ‘filled with reeking brimstone’. (Homer 3000 BC). The odour was not actually the smell of sulphur dioxide associated with burning sulphur, but rather was the first recorded detection of the presence of another strong odour, that of ozone (O3 ) in Earth’s atmosphere. These molecules were formed by the passage of lightning through the air, created by splitting the abundant molecular oxygen (O2 ) molecules into two, followed by the addition of each of the free O atoms to another O2 to form the triatomic product. In fact, most of the ozone molecules present in the atmosphere at any time have been made by this same two-step splittingplus-combination process, although the initiating cause usually begins with very energetic solar ultraviolet (UV) radiation rather than lightning. Many thousands of years later, the modern history of ozone began with its synthesis in the laboratory of H. F. Schonbein in 1840 (Nolte 1999), although the positive confirmation of its three-oxygen atom chemical formula came along sometime later. Scientific interest in high-altitude stratospheric ozone dates back to 1881 when Hartley measured the spectrum of ozone in the laboratory and found that its ability to absorb UV light extended only to 293 nm at the long wavelength end (Hartley 1881a). He then connected this result with the earlier field observation (Cornu 1879) that there was a short wavelength cutoff in solar UV radiation at 293 nm. Hartley concluded that this limitation on solar UV arriving at the Earth’s surface was caused by the ubiquitous presence of some absorbing substance in the atmosphere, and the match between these two cut-offs identified ozone as the molecule involved (Hartley 1881b). Cornu’s field work had been carried out at three different mountain altitudes, and his experiments showed that the solar cut-off was slightly less effective—a little less ozone—at higher altitudes (293.2 nm at 2,570 m; 294.8 nm at 1,650 m; 295.4 nm at 660 m). From the very small changes in cut-off wavelength with altitude—about 20% of the total atmosphere lies between 660 and 2,570 m—Hartley further reasoned that ozone was not distributed uniformly through the atmosphere, but rather that most of it was at altitudes higher than 2,570 m. These measurements were all made in the lowest part of the atmosphere, the troposphere,1 and the structure of the atmosphere at much higher altitudes was not yet fully understood in Hartley’s time. However, the groundwork had been laid for our present understanding that most of the atmospheric ozone lies far overhead in the stratosphere. 1

The troposphere extends from the surface to an altitude, which varies both with the latitude, reaching 17 km over the tropics and 6–10 km in Polar Regions, and the temperature, being slightly higher in the summer months. The temperature decreases with increasing altitude in the troposphere until it reaches the tropopause region and then begins to increase at higher altitudes. This region of rising temperature with increasing altitude is the stratosphere which extends up to an altitude of 50 km. Ninety percent of the atmosphere is in the troposphere, with only 0.2% lying above the stratosphere.

Stratospheric Ozone Depletion

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Detailed knowledge of the Earth’s atmospheric ozone distribution seasonally and geographically was outlined in the beginning of the1920s by a series of experimenters, especially G. M. B. Dobson, who began regular measurements with an UV spectrometer—an improved version of Hartley’s measurement technique. Dobson realized that careful measurements of the relative intensities of solar UV radiation at different wavelengths could be converted into quantitative estimates of the amount of ozone overhead, and his initial work near Oxford established that the amount of ozone varied from day to day and month to month. The Dobson UV-spectrometer, adapted into an instrument suitable for daily measurements in remote locations by trained technicians, became a standard instrument applied by many other scientists. With such instruments being operated in various distant locations and monitored throughout the year, the global distribution of ozone was quantified in the following decades, as shown in Fig. 1 for four different locations (Rowland 1991).2 Tropical locations, such as Huancayo in Peru, were found to have approximately the same amount of ozone overhead year-round. Higher ozone concentrations were measured throughout the year in the temperate latitudes than in the tropics, but with a strong seasonal variation superimposed. The peak ozone values in the temperate zones in both north and south occur at the end of winter—the further north the station from Arosa to Leningrad, the higher the maximum ozone concentration. Spitzbergen (78◦N) recorded the highest ozone concentrations, again maximising early in the spring. No measurements were made in the south Polar Region until the preliminary stages in preparation for the International Geophysical Year of 1957/58.

Solar Spectrum The radiation from the sun has wavelengths visible to humans from violet (400 nm) to red (700 nm), plus invisible infrared (>700 nm) and UV (40 nm) optical filters affecting effective absorption. Additional errors arose from the use of inaccurate empirical charts for ozone determination from the instrument readings. It was shown that even on sunny days the first version of M-83 (used until 1972) recorded about 6% less ozone than the Dobson for Sun zenith angles 2.0 the M-83 readings were 20 to 30% higher than the Dobson. In the presence of high atmospheric turbidity the M-83 readings were another 5 to 10% higher than those of the Dobson. As a result of the publication of these malfunctions of M-83 and with the encouragement of the international community (IAMAP and WMO), the scientists in the Main Geophysical Observatory in Leningrad under Prof. Genady Gustin have restructured the instrument, introducing narrower filters (half transmission band 21 and 15 nm) and a third filter to take care of the aerosol scattering and absorption. A more accurate nomogram has also been introduced, taking into consideration the influence of variable “effective ozone absorption coefficients” as a function of μ and total ozone (Gustin 1979). After 1983, a significantly improved Gustin electronic filter instrument, under the name M-124, was introduced in the entire network. Thus from the early 1970s data from about 40 locations provide more reliable data deposited in the WO3 UDC. Their accuracy is slightly better than 3% for direct Sun and ∼5% for zenith sky observations and precision is of the order ±3% for monthly average amounts (Bojkov et al. 1994).

State of Ozone Science in the 1970s and International Concerns At the Athens meeting there were eloquent presentations on the developments in ozone depletion theories (see articles by Crutzen, Rowland and Molina in this volume). Let us briefly recall that studies by Harold Johnston (1971), and Paul Crutzen (1970) have shown that the fleet of 500 SSTs proposed at that time could cause significant catalytic ozone loss by releasing nitrogen oxides directly into the ozone layer. Stolarski and Cicerone (1974) concluded that chlorine released in the stratosphere could also deplete ozone. At the same time Molina and Rowland (1974) expressed concern that CFCs are decomposing in the stratosphere and are a source

The History of Total Ozone Measurements

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Fig. 6 Differences between old-M-83 and Dobson’s at few nearby European stations confirm the findings of the IQSY parallel measurements with both instruments at University of Sofia showing that even on sunny days M-83 gives 6% less ozone than the Dobson for Sun zenith angels 2.0 the M-83 readings were 20 to 30% higher than the Dobson. In presence of high atmospheric turbidity the M-83 readings were another 5 to 10% higher. M-83 data before 1972 are of bad quality. (Bojkov 1968)

of chlorine there and therefore could cause major destruction of the ozone layer leading to increase of UV radiation, reaching the surface. In the late 1970s the one dimensional numerical models were calculating ozone decline by 5 to 8% up to 14% in the Polar Regions if the 1978 rate of CFCs release continued. These scientific findings led to the first expression of intergovernmental concern for “Modification of the ozone layer due to human activities and some possible geophysical consequences” issued as a formal WMO Statement in 1975. The WMO Seventh World Meteorological Congress representing over 130 Governments stated in May 1975: “. . . there is an urgent need for more studies (and for a definite review of these studies) to determine the extent to which man-made pollutants might be responsible for reducing the quantity of ozone in the stratosphere.” Additionally the Congress “stressed the need to determine the role played by chlorofluoromethanes (used in refrigerants and aerosol cans) in destroying ozone.” Furthermore, WMO decided to initiate the WMO Global Ozone Research & Monitoring Project with the main thrust in encouraging studies of ozone destructive compounds, calibration of instruments, data re-evaluation, assessment of ozone

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changes, and advising governments on the state of the ozone layer. That project is being implemented successfully even now. In 1976, the UNEP Governing Council called for action. In March 1977, the UNEP Executive Director Dr. Mostafa Tolba called a meeting of experts designated by Governments and Intergovernmental Organizations in Washington DC. The overview of the state of the ozone layer was presented by WMO. The Meeting recommended a World Plan of Action (in which WMO was responsible for monitoring, research, and assessments; UNEP for a broad catalytic role and attending to legal aspects). The UNEP Governing Council approved the proposed Plan of Action and the establishment of a Coordination Committee on Ozone Layer (CCO3 L); the annual meetings started in 1977 and continued until 1986. Based on the contributions of hundreds of scientists and reviews by the WMO, negotiations for the Global Framework Convention, initiated by the GC of UNEP, started in 1981 with WG of Legal and Technical Experts for the Elaboration of the Framework Convention first meeting (Stockholm, January 1982) guided by the former Executive Director of UNEP, Dr. Mostafa Tolba.

Search for Ozone Trends The scientific findings (e.g. by Crutzen, Rowland & Molina) and relevant modeling results that indicated that ozone decline is due to the increasing industrial release of ozone-destructive compounds, were available but the ozone data were neither sufficient nor in good shape to permit confident detection of such a change. Monitoring of the ozone layer required meticulous attention to subtle details of instrument calibration if long-term trends were to be accurately determined. The influences of natural effects such as solar cycle, QBO, ENSO, and occasional volcano eruptions had to be carefully evaluated. Analyses had also to consider a slump in the Northern latitudes in the early 1960s, apparently related to the atmospheric nuclear bomb tests, in combination with the QBO and solar effects. The problem was that we were looking for ozone trends of the order of only a few percent per decade. While the day-to-day variations increase (reaching 20% of the total) poleward with latitude, and seasonally from summer/autumn to winter/spring, the variations range from a minimum of ∼5% in the tropics to about 30% in high-latitudes. The common conclusion of leading scientists was that the incapacity to predict the effects of released CFCs automatically results in the need for a large-scale experiment with unknown consequences for the global system. The predominant opinion was for encouraging international agreement based on the “precaution principle” as explained in the presentation by Benedict (this volume). In this section, the efforts of the scientific community to establish a trend for total ozone after starting regular observations in the late 1950s are summarized. The scientific background and critical reviews of the state of ozone, contributed by hundreds of scientists, and the subject of international scrutiny, were published by WMO in collaboration mainly with NASA and NOAA in a series of Ozone Assessments starting in 1981. Later, the EC began to contribute to the process and UNEP


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was made ex-officio for the science reviews requested by the Montreal Protocol. The description of the search for trends follows some of the milestones, reflected in these Assessments, up to 1994, when most of the issues with the detection and description of the total ozone trends were resolved. More details can be found in the thousands of pages in the published WMO Assessment reports listed in the References. In 1981, it was nearly a decade since there had been increasing public and scientific interest on the question of whether man can inadvertently modify the ozone layer allowing harmful UV to reach the ground. A number of national reports considered the impact of emission by SST (CIAP) and the release of CFCs (e.g. NASA RP-1010 & 1049; Pollution Paper #15 of UK Dept. of Environment). It was time for an international review to build a consensus assessment. NASA jointly with WMO invited most of the institutions in the world engaged in stratospheric research to attend a scientific workshop in Hampton, Virginia (May 1981). The meeting was attended by more than 100 experts from 12 countries. The papers and contributed chapters for a comprehensive (515 pages) report on The Stratosphere 1981: Theory and Measurements (WMO 1981 Ozone Project Report No. 11) were distributed in advance. How inconclusive the trend analysis available before the 1981 Assessment meeting was, is demonstrated by Fig. 7, resulting from a WMO meeting of experts on the Assessment of Performance Characteristics of Various Ozone Observing Systems held in NCAR, Boulder, Colorado in August 1980 (WMO Ozone Project Report No. 9). The Ozone Report No. 11 was edited by a Science Council with essential support from NASA and confirmed the imminent threat of ozone catalytic destruction by chlorine in the stratosphere. A major part was dedicated to understanding the delicate interplay between chemistry and dynamics. A few one-D and 2-D models, with the function of changing chemical kinetics, were predicting a steady-state total ozone decline of −5 to −18%, due mainly to perturbation of CFCs at ∼40 km (!). However, at that time, only 36 stations had ozone records for more than 15 years, mostly of uncertain quality. The satellite coverage was just starting and was not useful for predicting trends. There had been only single attempts to detect any ozone trend (e.g. Hill et al. 1977). Descriptive and statistical studies indicated a neutral or slightly positive global ozone trend for 1970–1979. Limited available data up to 1978 were combined by regions and examined for effects of solar cycle, volcanic eruptions, nuclear tests, and CFCs. There was some increase (∼3%) in the 1960s and slight decrease after 1970 (e.g. Angell & Korshover 1978). However to determine the true trend the estimated errors and the thresholds of detectability were very high [2σ = ±3.6%] due to the short period, and instrument and spatial disparity. Three statistical studies for the detection of changes in global ozone, based on monthly average (not re-evaluated!) total ozone reported by 36 stations for 1958–1979 were available from renowned statisticians for the Assessment-1981. Using linear trend and starting from 1970, Bloomfield et al. (1983) and Reinsel et al. (1981) were calculating (1.7 ± 2.0)% and (0.8 ± 1.3)% respectively. St. John et al. (1981) started from 1960, using functions such as predicted CFC effect and found (1.1 ± 1.2) %, all statistically not significant!

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Fig. 7 Deviations in percent from the mean ozone in 1957–1979 for few belts and estimated for the world. The vertical bars represent ±2σ of the variation in percentage deviation for station values in each group. These values are an indication of the “natural variability” of total ozone against which systematic trends need to be calculated. So far no obvious trend appeared (adopted from WMO 1980; following Angell & Korshover 1978)

Even in the extensive three-volume 1985 International Assessment (WMO Ozone Project Report No. 16), when expressing unanimous agreement on the destructive effects of CFCs and other ozone-perturbing gas components , the main conclusion for ozone change was that “global trend estimates of total ozone determined from the Dobson Spectrophotometer network indicate little overall support for a significant trend during the 14-year period 1970–1983. . . .. Recent evidence has been presented that indicates a considerable decrease during the Antarctic spring since about 1969. This is presently the subject of further analysis. At the same time the one- and two-dimensional models were predicting that the 1980-rate of release of CFCs would reduce the ozone by ∼5 to 8% up to 14% in the Polar Regions. So, at this point, scientists were unable to find trends on a global scale, but there appeared a trend since the late 1970s during the Antarctic-spring that was sudden and unexpected, much greater than anything that had been predicted (see section 6). The decline was stronger in the lower stratosphere and not as originally expected in the ∼40 km region. It was more than urgent to arrange measurements within the Antarctic “ozone hole” and review carefully the ozone observational data and if possible explain the discrepancy. Such expeditions were arranged in the next two years by NASA and NOAA. At the end of 1986, the NASA-NOAA Antarctic Ozone Expedition documented that “perturbed chemistry is involved” in the Antarctic-spring drastic ozone decline. However, whether the ozone hole was caused by chlorine compounds contributed by man-made chemicals, was still to be confirmed by ground remote sensing and by the instrumented aircraft measurements penetrating into the polar vortex.


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In early 1986, one of the principal investigators of the TOMS instrument testified before Congress that the six-year satellite data indicate a global decline of ∼1% per year. At that time the drift of 0.42% in the TOMS data versus the well calibrated ground-based observations detected by Bojkov et al. (1988) was not yet known. In October 1986 NASA initiated work on an International Ozone Trends Panel chaired by Bob Watson with 33 lead scientists from NASA, NOAA and WMO, supported by hundreds of other world renowned specialists from the field. The panel’s mission was to go into the data in some detail and look at the resulting trends to determine whether they were real or might be due to uncertainties, inaccuracies, or a degradation of the observing systems. The Panel studied the question of whether carefully re-evaluated ground-base and satellite data would support the findings of ozone depletion over Antarctica and on a global scale. A detailed study culminated in the two-volume Panel Report 1988 on Ozone Assessment (WMO Ozone Project Report No. 18). The Ozone Trends Panel concluded that the SBUV instrument on Nimbus-7, on which Donald Heath had relied for his Congress testimony to announce a substantial global decline of about −4%, had suffered degradation, and thus his findings were suspect. For the first time it was confirmed from provisionally reevaluated data that significant ozone decline had occurred during the winter–spring in the middle and polar latitudes. Even before the Ozone Trends Panel, Rumen Bojkov took a new look at the ground station data deposited at WO3 DC–Toronto. Many stations have been taking regular measurements since the IGY (1957) and conducting instrument calibration; however, practically none was correcting the once-deposited data for results of the calibrations. He identified discrepancies and brought to the attention of each station the need to look deeper into their maintenance records and to systematically re-evaluate their data (Bojkov 1988). During the course of the Ozone Trends Panel study, he prepared 31 provisionally re-evaluated data sets, (see Appendix to Chapter 4 in WMO No. 16) then collaborated with Neil Harris to carry the trend analysis which Sherry Rowland, as Chapter 4 Chair summarised for the Trends Panel Report (Rowland et al. 1988). A number of stations submitted their re-evaluated records at first call (e.g. Belsk, Hradec Kralove, Hohenpeissenberg, and four from Japan). Other stations, under pressure, followed after some years (e.g. Australia, Belgium, Brazil, Switzerland, and USA). The re-evaluation request was less successful with the stations in India (except Ahmadabad). Analysis of provisionally re-evaluated data for known instrument calibrations of the period 1965–1986 (assuming linear change after 1969) were separated for the first time into seasons and three latitudinal bands (30–39◦N, 40–52◦ N and 53–64◦ N). The winter-spring (DJFM) data did indeed show a significant trend from −2.3; −4.7; −6.2% respectively for the 17-year period of 1969–1986. There were calculations of 1 to 1.8 matm-cm per year loss (roughly −2 to −3.5% per decade statistically significant) poleward from 40◦ N i.e. reaching as far south as Boulder, Bismarck, Edmonton, Toronto, Caribou (in North America) and Rome, Arosa, Hohenpeissenberg, Belsk, Hradec Kralove, and Leningrad, (in Europe). The summer (MJJA) ozone losses were smaller (−0.2 to −1.9%) and not significant in all belts.

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In the preparation of the Scientific Assessments of 1989 and 1991 (WMO Ozone Reports No. 20 and 25) further progress was made in assessing the ozone changes. Reanalysis (e.g. Bojkov et al. 1990; Stolarski et al. 1992) of the Dobson data enriched with filter-ozonometer sets and 13-year TOMS data confirmed the Trends Panel findings and showed ozone decline in all seasons except over the tropics, which cannot be attributed to known natural processes. Benefiting from data of several more years and a new technique for internal calibration of the satellite data, the trends by satellite data on a global scale showed some longitudinal differences detected with difficulty by ground-based data (e.g. Stolarski et al. 1992). The decline was larger during the 1980s than in the 1970s. The observed ozone decreases have occurred predominantly in the lower stratosphere below 25 km. These findings have led to the recognition of major gaps in theoretical models, which considered heterogeneous reactions in stratospheric clouds. The Assessments were emphasising that “the weight of scientific evidence strongly indicates that manmade chlorine and bromine compounds are primarily responsible for the Antarcticspring ozone losses. If substantial emissions of halocarbons continue, significant ozone decrease even outside Antarctica is highly likely in the future”. For the first time, it was recognized that the observed lower-stratosphere ozone depletion tended to cool the lower stratosphere at middle and high latitudes. The lower temperatures would influence the longevity of the polar vortex and facilitate the ozone destruction processes. In the 1994 Assessment the main focus of the trends analysis was on their seasonal and regional patterns and their underestimated magnitudes by the numerical models. Seasonal and year-round trend analysis of ground-based total ozone data, carefully quality controlled using 46 Dobson stations covering the two polar regions also, plus information from 45 ozonometer stations forming four regions of the former USSR, were prepared for the Assessment Report (WMO 1994) by Bojkov et al. (1995). The trend model incorporated the 10.7 cm solar flux and 50 hPa equatorial stratospheric winds as indicators of the removal of the solar and quasi-biennial components in ozone variations. The trends were calculated for two time intervals: January 1964–March 1994, with slope since 1970, and from January 1979 through March 1994. The analysis shows continuous year-round ozone decline in the polar and middle latitudes (35◦–60◦ ). In the latter the estimated values are −4.3 and −4.1% per decade respectively in the northern and southern hemispheres. Table 3 Total Ozone Trends (% per decade) with ±2σ show similarity of the values derived from TOMS and ground-based data in 1979–91. An acceleration of the decline is also obvious from the ground data. (adopted from WMO 1991)

Season/years Dec–Mar May–Aug Sep–Nov

TOMS ∼45◦ N

Ground-based

26◦ N–64◦ N

1979–91 −5.6 ± 3.5 −2.9 ± 2.1 −1.7 ± 1.9

1979–91 −4.7 ± 0.9 −3.3 ± 1.2 −1.2 ± 1.6

1970–1991 −2.7 ± 0.7 −1.3 ± 0.4 −1.2 ± 0.6


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The northern hemisphere data permits us to estimate the trends in percent per decade over vast regions such as North America −4.1 ± 1.5%, Europe −5.1 ± 2.0, and Siberia and the Far East −5.6 ± 1.8%. The decline over the Arctic region is −5.6 ± 2.0% for year-round trend and −7.5 ± 3.8% per decade for the winterspring season. Most dramatic is the decline over Antarctica where during spring it is −22.7 ± 7.2% per decade. The ozone deficiency there had more than doubled during the past 7 years. The Assessment discusses the sensitivity of the ozone trends and the extremely low ozone during the 1992–1993 period when a very strong QBO influenced the poleward transport and lower stratospheric temperatures, as well as the partial contribution to the decline attributed to the abundance of aerosols after the Mt. Pinatubo eruption in 1991. The trends estimated for 1979–1994 are by 1.5 ÷ 2% per decade stronger in northern and southern middle and high latitudes than the trends with slope since 1970, which shows a substantial acceleration of the rates of ozone decline. In general, over the northern mid-latitudes ozone decline is stronger during the months of high ozone values and weaker during the ozone annual minimum. Figure 8 demonstrates that seasonal dependence. This seasonality of the trends is difficult to distinguish over the southern mid-latitudes. The availability of more data both from ground-based and satellite instruments permitted the establishment of long-term zonal as well as hemispheric and global variations for the 1964–1994 period (Bojkov & Fioletov 1995). The difference between the estimations of monthly zonal variations from ground-based and TOMS data for the overlapping period of 1979–1993 is less than 1% in latitudes 40◦ S–60◦N. The ozone changes are several times larger than possible errors of the estimated values; therefore the results are highly reliable. They show that the northern hemisphere average ozone was ∼312 and the southern average was ∼300 matm-cm in

Fig. 8 The seasonal dependence of the total ozone trends for the January 1979 to March 1994 period over Dobson stations in the band 35◦ –60◦ N (average of station trends – right scale) and total ozone long-term mean values (left scale) for the same set of stations (from Bojkov et al. 1995)

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the pre-ozone-hole decades (1964–1980) and that the global average for the 1984– 1993 period was lower by ∼3% (from 306.4 ± 1.0 down to 297.7 ± 2.2 matm cm) as shown in Fig. 9. Noticeable is the levelling of the secondary ozone maximum during Sep–Nov of the later period due to the drastic Antarctic-spring decline. The levels of annual ozone maximum have been reduced by 5.8% in the southern hemisphere and 3.2% in the northern hemisphere, and the levels of ozone minimum have been reduced by 2.1% and 1.2%, respectively. The cumulative year-round

Fig. 9 Difference between total ozone values for two periods (1954–1980 and 1984–1983). Upper panel: global monthly difference. Lower panel: latitudinal monthly differences (in percent) reaching maximum during winter–springs; Note southward of 60◦ S from September to November the difference is more than 15%, with a maximum exceeding 35% poleward of 80◦ in October (adopted from Bojkov & Fioletov 1995)


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global ozone decline is 4.8 ± 0.6%; however, the cumulative year-round decline over the middle and polar latitudes is close to 8%. In the northern belt it is higher in the winter–spring and is 4–6% in summer and fall. In the southern belt the cumulative decline is ∼10%, reaching 40% in Sep–Nov in Antarctica. The southern hemisphere contributed ∼64% of the overall ozone decline.

Update of the Ozone Decline in Mid- and High- Latitudes This chapter also provides information on the course of the observed ozone decline utilizing one more advanced objective method, namely calculated ozone massdeficiency (O3 MD) from the pre-1976 averages. This permits us to have comparable estimates of the O3 MD over various latitudinal belts and for different seasons and years updating the record up to the present. Special attention is given first to the decline in Antarctica and then to the changes that have occurred in the northern latitudes.

Antarctica Ozone observations in Antarctica began in 1956–57. Since then, total ozone data were collected at 17 locations at one time or another. Only Argentina Isl.- Faraday (65◦S, 64◦ W) and Halley Bay (76◦S, 27◦ W) have kept an uninterrupted ozone record with regular calibrations; however not all their data was deposited at the WMO-WO3 DC. In 1961 the Dobson instrument was located at the South Pole – Amundsen–Scot base and in 1966 at Syowa (69◦ S, 40◦ E). These four stations were the backbone of the information on the ozone regime over Antarctica. Shorter data sets such as 1962–68 Byrd (80◦S), 1957–58 Little America (78◦ S), 1961–63 Hallett (72◦S), and 1965–66 King Baldouin (70◦S) were also useful in the first studies of the regime over Antarctica in the 1980s. Measurements by broadband filter instruments from 1960 to 1966 at Mirni (67◦S), and IGY Vassy observations at Dumont d’Urville (67◦ S) including star observations demonstrated unusual variability and inconsistency, which could confuse and mislead a superficial examiner. A review of all the Dobson readings in the Southern polar and upper middle latitudes since IGY until the end of the 1970s showed very few occasions when daily values were near 200 matm-cm (Bojkov 1986a, b). Usually such occasions did not form a prolonged period, very seldom were they accompanied by corresponding values in other stations; thus they cannot be compared with the wide-spread, magnitude, and duration of the extremely low Antarctic spring values registered since 1979 onwards. The appearances of such low ozone values from ground-based observations were brought to the attention of the scientific community by Chubachi et al. (1984), and Farman et al. (1985), and from TOMS data by Stolarski et al. (1986). Now we know that since the end of the 1970s the total

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ozone over the southern polar region has drastically declined each spring starting in August, but mainly from September through November when the reduction from the pre-1976 monthly values in the last twenty years was reaching ∼40–50%. The negative ozone trends since 1979, in percent per decade (significant at 2σ level) were ∼22% for Sep–Nov, ∼5% for Dec–March, and ∼9% for year round. By comparison, the annual trend in the 35–50◦S belt is only ∼2% and in the 50–65◦ S belt is ∼4.5%. The main ozone depletion takes place in the 14–21 km layer which is completely depleted of ozone during late September and the first half of October. This springtime depletion has been extensively studied (e.g. WMO Assessments 1994, 1998, 2002 and the references therein). It has been confirmed that chlorine and bromine-activated heterogeneous reactions in the stratosphere are responsible for the observed ozone destruction. The low stratospheric temperature (σ ), knowing its value in matm-cm, it becomes a simple matter to determine the respective ozone mass (see Bojkov et al. 1998). The daily O3 MD were subsequently integrated to arrive at the overall mass deficiency in Mt for the given latitudinal belt and/or for a time-period of interest. The derived characteristic is directly comparable on a molecule per molecule basis, independent of the season and location. The basic characteristics of the ozone hole each year since 1979 are shown in Fig. 10. The maximum extent of the O3 h-area which only exceeded 10 million km2 in the mid-1980s, reached 22 million km2 for a few days during each year of the 1990s and was >25 million km2 in the last nine years except 1999, 2002 and 2004. The lowest ozone values within the O3 h occurred usually during the second half of September and/or early October. The minimum total ozone values have fallen from ∼200 matm-cm in the early 1980s to ∼150 in the mid-1980s and down to values of a few units less than 100 matm-cm in most of the last 14 years. A review of the integrated O3 MD within the −10% contour and integrated over the area >35◦ S for the months of September, October, November and December shows O3 MD has been increasing since 1979, with the exception of 2002. It has fluctuated mainly between 4,700–6,300.106 km2 , remaining rather high since the mid 1980s with maximums >7,000.106 km in 2004 and 2006. The integrated O3 MD>35◦ S has tripled from ∼4,000 Mt average for 1979–84 to ∼12,000 Mt of the last six years (2001–2006). The area with ozone deviations stronger than −10%


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Fig. 10 Upper panel: (squares) maximum day-area covered by O3 h values [in millions km2 ]; (circles) lowest total column ozone measured each year. Lower panel: (triangles) Ozone-massdeficiency (O3 MD) as difference from pre-1976 values integrated for 105 days (1 Sep.–15 Dec.) within the O3 h area [in Mt] right scale; (diamonds) date of disappearance of values 15 >20 >25 1995 75 68 36 – 1996 88 70 35 – 1997 73 56 25 – 1998 101 70 48 20 1999 98 79 50 – 2000 75 54 41 7 2001 97 82 53 17 2002 18 5 – – 2003 68 54 38 14 2004 75 54 21 – 2005 81 64 50 6 2006 97 89 61 21

Fig. 11 O3 MD from pre1976 averages, inside the −10% deviation contours, integrated for 105-days (1 Sep.–15 Dec.) in Mt for Southern polar region (>60◦ S dashes) and middle latitudes (35–55◦ S continues line) in the period 1979–2006, show major increase of O3 MD only over the polar region (updated from Balis and Bojkov, 2003)

has also increased. All these show that ozone depletion in Antarctica is not abating. The “anomalously” early disappearance of the O3 h in the October of 1988 and 2002 with relatively smaller ozone deficiency was due to an early break-down of a warmer stratospheric polar vortex. In Fig. 11 it is interesting to note that the O3 MD poleward from 60◦S, which increased rapidly during the early 1980s, reached high values in the mid-1990s and again in the last few years, except in 2002, reaching a record low in 2006. In contrast, over the middle latitudes (35–55◦ S) the O3 MD does not show a major decline and is fluctuating between 3,000 and 5,000 Mt, which level had already been reached in the early 1980s. These fluctuations are perhaps related to the macro-circulation specifics over the middle latitudes and the intensities of the spread over the middle latitudes of the Antarctic low ozone after the breakdown of the polar vortex, which is different in each year, and can also be subject to climate change-induced circulation changes.


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0

1000

2000

a

3000

4000

5000 1979-83

1984-88

1989-93

1994-98

1999-03

2004-07

Fig. 12 Five-year Sep + Oct integrated averages of O3 mass-deficiencies [M-tons] and sunlit area [106 km2 ] with Ω < 220 matm-cm poleward of 60◦ S (only last columns are for 4-years). The area since late 1980s is nearly without change ∼14.3106 .km2 while the deficiency is increasing reaching highest average values (>4,600 Mt) in the very last years. There is no indication of weakening of ozone destruction during the Antarctic spring! (updated from Balis and Bojkov, 2003, 2004a)

More information on the developments in the polar region (>60◦ S) during the times of greatest ozone decline in September and October could by deduced by reviewing the O3 MD and area with 60◦ N. The latter region coincides with the Arctic stratospheric vortex within which, if the temperature is 35◦N for the first 105 days of each year has increased from ∼2,800 Mt in 1979–1984 to an average of ∼7,400 Mt in the 1990s. It was less than 4,000 Mt in 1991 and 1998 but exceeded 12,000 Mt in the spring of 1993 and 1995. The latter quantity is comparable with the average O3 MD for the Antarctic springs of the 1990s. During the last seven years the average O3 MD >35◦ N is ∼7,200 Mt. The upper part of the middle latitudes contributes rather constantly the biggest portion (∼42%) of the O3 MD poleward of 35◦ N. The strength of the deficiency in this belt is related to the longer time chemically disturbed air-masses that are exposed to sunlight and expansions of the Arctic vortex. Over the southern part of

Fig. 14 Average total ozone departures from pre-1976 values for the period 1990–2000 shows great area coinciding with the winter-spring stratospheric vortex position where the ozone departures are between 10 and 20% even in 11-years averages (Balis & Bojkov 2004)

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Fig. 15 Integrated Ozone Mass Deficiency for a period of 105 days within the −10% contour for latitudinal belts: 45◦ –60◦ N (solid line), southern part of the middle latitudes (35–45◦ N doted line) and >60◦ N (dashed line). It is seen that the contribution of the polar region to the O3 MD has been smaller during the last decade when the contribution of the southern part of the middle latitudes has rapidly increased (updated from Balis and Bojkov, 2003, 2004a)

the middle latitudes the O3 MD variation were marginal (∼20%) until the last seven years when their share increased twice, probably due to more frequent influence from the transport of low ozone from the sub-tropical belt (Bojkov & Balis 2001) and less intensive ozone loss processes in the polar region. Table 5 has details of the contribution of these latitudinal belts during different periods. If the area poleward of 35◦ N is taken as unity, the area of the three belts is nearly the same (∼33% of the total surface >35◦ N). The most interesting fact is that the contribution by 1% of the 35–45◦ N area in the first 20-years of the ozone decline was ∼0.6%; however, in the last seven years, it has increased to 1.2%. This is compensated by the strong decline of the contribution by 1% area >60◦ N from ∼1.2% down to 0.6%. Indeed in the last 29 years, the winter–springs of 1985, 1999, 2001, 2004 and 2006 were the ones with very weak vortex – above normal stratospheric temperatures over the Arctic and below normal total ozone over the lower latitudes of this hemisphere. The latter were related to the intensive north-eastern transport of sub-tropical air masses with low total ozone content. Over the polar latitudes >60◦ N the fractional contribution to the overall O3 MD has been strongest (∼39%) in the 1990s but has declined drastically to 22% in the last seven years, indicating less intensive ozone losses there. These results show that in some years the ozone deficiencies should be related not only to the high chlorine loading in the stratosphere in conditions of unusually


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Table 5 The area of few latitudinal belts as fraction of the entire area poleward from 35◦ N and the % contributions of the specified belts to the O3 MD integrated for 105 days (1 January–15 April) within −10% deviation contours >35◦ N averaged in [Mt] for 1979–1989, 1990–2000 and 2001– 2007 (second row). Last three lines give the contribution of 1% area of each belt to the overall O3 MD >35◦ N for the three periods (compiled by Bojkov and Balis) belts >35◦ N 35–45◦ 45–60◦ 60–90◦ area in % 100 33 34 33 % of >35◦ 1979–1989 3500 Mt 23 46 31 1990–2000 7400 Mt 19 42 39 2001–2007 7200 Mt 40 38 22 1% area contributes x% of >35◦ 0.66 1.38 0.94 0.58 1.24 1.18 1.21 1.15 0.64

low polar winter–spring temperatures but also to the related stratospheric transport of low ozone from the sub-tropical belt. The role of the transport of atmospheric air masses in the overall decline of the ozone amount is being addressed. However, clearly determining the contribution of each of the two processes has proved to be extremely difficult. Here it should be mentioned that there are evidences for the appearances not only of single episodes with extremely low ozone values in the middle latitudes due to sub-tropical mass-transport, but also that such events have happened during the entire ozone-observing record of more than forty years (Bojkov & Balis 2001). The latest such event was noted in mid January 2004 when ozone values of less than 200 matm-cm were observed over the Iberian Peninsula. International campaigns conducted in the 1990s and early 2000s (AASE, EASOE, SESAME, THESEO, VINTERSOL etc.) have estimated cumulative chemical ozone destruction between 100 and 140 DU during each winter–spring since 1989 except in 1998 and 1999. In the lower stratosphere inside the vortex, low ozone mixing ratios of ∼1 ppm were observed in 1995, 1996, 1997 and 2000. The major ozone loss was noted mostly from mid-February to the end of March. In the same peroid within the vortex, the concentrations of ozone depleting substances were similar to those in the Antarctic spring and consequently for short periods of time the daily ozone loss rates have also been similar (e.g. Mueller et al. 1997).

Some Differences in the Ozone Regimes in the Two Hemispheres Sophisticated linear regression schemes including the seasonal cycle, linear trend, quasi-biennial oscillation, and 11-year solar cycle have been applied to deduce ozone trends. These analyses indicate that the downward trend attributed to ozone depleting substances (O3 DS) is ∼4% averaged for 65◦ N to 65◦ S. A relatively large variability, related to dynamic, solar cycle, and volcanic effects, of about ±1% exists.

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It should be noted that there are substantial differences in the annual courses of the total ozone (as well as of the stratospheric temperatures), in particular between the Northern and Southern Polar Regions demonstrated in Fig. 16. Possible differences in the ozone regimes of both hemispheres were mentioned first by Vassy and Vassy (1939). A time delay of over a month in the occurrences of ozone maximum at Halley Bay versus that at Oxford was noted in the first data analyses after IGY by Dobson (1963). Before that at the Symposium on the Stratosphere in the Free University of West Berlin, Godson (1963) demonstrated that large differences exist between Arctic and Antarctic stratospheric temperatures and the annual course of total ozone regimes and provided eloquent explanation based on radiation and dynamic differences. He showed that rapid warming, accompanied by substantial increase of the ozone over Antarctica, occurs about 2 months later than over the Arctic. In pre-ozone-hole conditions the main reason for a lag was the domination of a strong baroclinik circumpolar stratospheric vortex over Antarctic from April through October, preventing any systematic meridional exchange. This circulation creates an isolated region of low ozone centered over the Antarctic surrounded by a relatively high ozone belt over the middle latitudes. This regime persists until the vortex breakdown in October. Currently, with depleted ozone in the lower stratosphere, temperature is lower and the breakdown is delayed to the end of November or early December (Bojkov & Balis 2000; Balis & Bojkov 2003, 2004a). An analysis of the month-to month changes in the ozone zonal means indicates that the time of attainment of the ozone maximum now is progressively delayed from October (at 55◦S) to December (at 75◦ S up to the Pole). The time of the annual

Fig. 16 The 1957–1985 100 hPa monthly average temperature (right scale) and 10-day mean total ozone (left scale) for Resolute (75◦ N) –continuous lines, and Halley Bay (76◦ S) – dots with lower time-scale where July is equivalent to January in Resolute. On the abscissa the long marks of each month show 30-day intervals starting with the winter solstice. Due to longer lasting Antarctic polar vortex, there is a 2 to 3 months delay in the occurrence of annual ozone maximum at Halley which is nearly 130 matm-cm weaker than in the Arctic – Resolute (Bojkov 1986b)


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ozone increase occurs earliest (October) at 55◦ S. In the pre-ozone-hole years most of the annual ozone increase over Antarctica occurred in October/November. If the latter is delayed even by only a few weeks (due to prolonged domination of the southern circumpolar vortex) the air transported from the middle latitudes will carry relatively less ozone, as the annual ozone decrease there in November is already at an advanced stage. Thus, the ozone values in the Antarctic would be lower than if the meridional transformation were to occur in late September–early October, which would have corresponded to what happens over the Arctic in late March. This delay in natural spring-time stratospheric temperature increases over Antarctica as it happens now in conditions of disturbed chemistry is essential for continuous lower stratospheric temperatures, facilitating the ozone destructive processes. Such destruction is not possible to the same extent and duration in the much warmer Arctic stratosphere, continuously disturbed by propagating baroclinik waves. A comparison of the ozone mass-deficiency over the two hemispheres poleward from 35◦ reveals interesting differences. The O3 MD integrated over the winter– spring seasons (1 Jan.–15 April poleward of 35◦ N and 1 Sep.–15 Dec. poleward of 35◦ S) for each year during 1979–2007 is shown in Fig. 17. In the NH the deficiency has increased from ∼2,800 Mt in the early 1980s to ∼7,800 Mt in the 1990s and exceeded 12,000 Mt in the winter–springs of 1993 and 1995. During these two single years, O3 MD over the NH exceeded O3 MD over the SH. However, in the long run, the spring deficiency over the SH is stronger. From ∼4,000 Mt in the early 1980s it rapidly increased and since the mid-1980s it is frequently greater than 11,000 Mt and has lately exceeded 15,000 Mt!

Fig. 17 The O3 MD (from the average pre-1976 ozone levels) poleward >35◦ N and >35◦ S. The O3 MD is calculated over surface area, with deficiencies larger than −10% (>σ ) and integrated (updated from Balis and Bojkov, 2003, 2004a)

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The O3 MD differences >60◦ are even greater. In the Northern polar region, in the early 1980s, the integrated average deficiency was ∼1,050 Mt, while over Antarctica it was ∼2,350 Mt. In the mid-1990s the deficiencies over the Arctic were the strongest at ∼3,600 Mt but they declined to an average of ∼1,650 Mt in the last six years. Over Antarctica, for the corresponding periods, the deficiencies were nearly the same at ∼5,900 Mt and ∼6,000 Mt. The stratosphere of the northern upper latitudes is warmer than in the southern hemisphere. The Arctic stratosphere is significantly chemically perturbed; however, it warms up earlier in the spring by major meridional transport, and by the time there is sunlight available to activate ozone losses, the PSCs have already disappeared. That explains why there is no Arctic ozone hole.

Concluding remarks It is amazing how the dedicated efforts of a few scientists like Fabry, Buisson, and Dobson in the 1920s succeeded in establishing a reliable methodology for the measurement of the total ozone and deducing some of the basic seasonal and latitudinal characteristics. During the 1930s and 1940s, ozone measurements were carried out by less than a dozen interested scientists and in most places not regularly. At that time, their interest was not in systematic measurements but in exploring the weather-predicting relations of ozone and weather patterns. The network based on international cooperation was established only 50 years ago in preparation for the International Geophysical Year and it evolved into the WMO Global Ozone Observing System (GO3 OS). It is being supplemented by satellites for about 30 years. Without the dedicated efforts of numerous scientists supervising the ozone measurements and starting to control their quality, it would have not been possible to make any assessment on the state of the ozone layer when some theory for its possible destruction started to appear. Data from the GO3 OS have been essential for understanding the effects of chlorofluorocarbons (CFCs) and other ozone-depleting gases on the global ozone layer. Starting before the launch of space-based ozone-measuring instruments and continuing to the present day, the Dobson instruments are routinely being used to help calibrate space-based observations of total ozone because of their stability and accuracy. The problems faced by the first ozone observers have not gone away. Above all, data sets need to be longterm, sustained over decades and periodically standardized. It is easier to get big funding for a one-off project than small funding for long-term monitoring infrastructure. Although in situ monitoring is cheap, ground-based stations frequently face closure and vital time series are broken. Sustaining continuity and quality is difficult. In the early 1970s, scientific findings by Crutzen, Rowland, Molina, Stolarski and Cicerone (to mention a few) highlighted the potential of chlorofluorocarbons and halons to destroy stratospheric ozone, with serious environmental implications. The search for ozone trends has started considering first the possible destruction of the


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ozone from a big SST fleet and then from the CFCs. Scientific studies on all aspects of the ozone issue expanded and provided the background for the Vienna Convention (1995) and its Montreal Protocol (1987). However, only in the mid-1980s, have the increasing international concerns stimulated careful data re-evaluation, based on calibrations and comparisons, which permitted the NASA/WMO Ozone Trends Panel to detect statistically significant ozone decline in the Northern latitudes, although much smaller than the rapid ozone decline noted in the Antarctic springs. It was not until the early 1990s however, that convincing evidences of ozone decline also over the middle latitudes in all seasons were obtained, thanks to extensive research by scientists from around the world. In the mid-1990s the major decline in the lower stratosphere was better understood and the essential role of the stratospheric temperature and dynamics affecting the Arctic ozone decline was confirmed. The trends were detected by both ground-based and satellite-borne monitoring instruments. The preparations of periodic international Ozone Assessments have helped to reach new and more advanced understanding of the processes causing humaninfluenced changes and their effect on the ozone decline so dramatically demonstrated not only by the Antarctic spring ozone hole events, but also by the similar, but much shorter-lasting, ozone declines over the Northern polar and middle latitudes, most pronounced during the 1990s. Total ozone deficiencies of 4–6% from pre-1976 averages continue to be observed over extra-polar latitudes, except in the tropics (25◦ N–25◦S). They are stronger in the winter–spring than in the summer seasons and are greatly influenced by the meteorological conditions at nearly equal concentrations of ozone depleting substances. The review of the total ozone changes presented here shows occurrences of great variations on a background of a general declining trend since the 1970s. It seems that part of the variations could be better explained in connection with coherently appearing variations in the atmospheric circulation planetary waves, but this aspect needs further study. The ozone changes observed in the last few years are in concurrence with the understanding of the important role played by the atmospheric circulation in the complex processes of ozone changes. Presently, there are no indications of any slow-down of the ozone losses over the Antarctic. Even greater ozone losses in the polar and mid-latitudes could be expected, at the present stratospheric chlorine loading, subject to the prevalence of favourable meteorological conditions. The findings in the WMO Ozone Assessments that the ozone losses will not end until the stratospheric chlorine loading falls back to its pre-ozone-hole values of ∼2 ppbv (expected to occur much after the middle of the 21st century) calls for continuous monitoring and study of the state of the ozone layer. It is commonly accepted that with accurate, quality-controlled data, we shall better comprehend the Earth system, watch the ozone-change and gain warning of dangers to come. However, monitoring does not win glittering prizes. Its support is marginal and publication is difficult and unappreciated. Despite the obvious success of the efforts for reliable ozone data bringing us to the Vienna Convention and its Montreal Protocol, longterm quality measurement is simply not valued as ‘discovery’ science. As this meeting was dedicated to the 20th aniversary of the Montreal

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Protocol, it must be stated clearly that even if no ozone recovery is detectable in the coming decade(s), or even worse, if an ongoing downward trend continues (i.e. largest O3 MD over Antarctica was in 2006!), ozone depletion would have been worse without the regulations for the phase-out of ozone depleting substances embedded within the Protocol.

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Marignac, C., & de la Rive, M. (1845). Sur la production et la nature de l’ozone. Compt. Rendus Acad. Sci. Paris, 20, 808. Mateer, C. L. (1990). Application of Bass-Paur 1984 ozone absorption coefficients to ozone measurements with Dobson spectrophotometers. Letter to Ozone Commission Secretary, 13, pp., Available from: http://www.esrl.noaa.gov/gmd/ozwv/dobson/papers/basspaur 1984 abs coeffs.html Meetham, A. R. (1937). The correlation of the amount of ozone with other characteristics of the atmosphere. Q. J. R. Meteorol. Soc., 63, 289–307. Molina, M. J., & Rowland, F. S. (1974). Stratospheric sink for chiorofluoromethanes: chlorine atom-cataysed destruction of ozone. Nature, 249, 810–812. Mueller, R., Crutzen, P. J., Gross, J. U., Bruehl, C., Gernand, H., Russell III, J. M., et al. (1997). Chlorine activation and ozone depletion in the Arctic stratospheric vortex during the first five winters of HALOE observations. Proc. Ozone Symp. L’Aquila (Eds. Bojkov & Visconti), 225–228. Ny Tsi-Ze & Choong Shin Piaw. (1932). L’absorption da la lumiere par l’ozone entre 3050 et 3400 A. Compt. Rand. Acad. Sci., Paris, 195, 309–311. Reinsel, G., Tiao, G. C., Wang, M. N., Lewis, R., & Nychka, D. (1981). Statistical analysis of stratospheric ozone data for detection of trends. Atmosph. Environ., 15, 1569–1577. Rowland, F. S., Harris, N. R. P., Bojkov, R. D. & Bloomfield, P. (1988). Statistical error analysis of ozone trends- winter depletion in the Northern Hemisphere. In Ozone in the Atmosphere, Proc. Quadr. Ozone Symp. Goettingen (Eds. Bojkov & Fabian) Deepac Publ. 71–75. Roosen, R. G., Angione, R. J., & Klemcke, C. H. (1973). Worldwide variations in atmospheric transmission: 1. Baseline results from Smithsonian observations. Bull. Am. Meteorol. Soc. 54, 307–316. Schönbein, Ch. F. (1840a). Recherches sur la nature de l’odeur qui se manifeste dans certaines actions chemiques. Compt. Rendus Acad. Sci. Paris, 15, 706. Schönbein, Ch. F. (1840b). Beobachtungen uber den bei der Electrolysation des Wassers und dem Ausstromen der gewohnlichen Electricität aus Spitzen sich entwikkelnd en Geruch. Ann. Phys. Chim. (Poggendorf’s Annalen), 50, 616. Schönbein, Ch. F. (1845). Einige Bemerkungen uber die Anwesenheit des Ozons in der atmosphärischen Luft und die Rolle welcher dieser bei langsamen Oxydationen spielen durfte. Ann. Phys. Chim. (Poggendorf’s Annalen), 65, 161–172. Soret, J. L. (1863). Sur les rélations volumétriques de l’ozone. Compt. Rendus Acad. Sci. Paris, 57, 604–609. Soret, J. L. (1865). Recherches sur la densité de l’ozone. Compt. Rendus Acad. Sci. Paris, 61, 941. St. John, D. S., Bailey, S. P., Fellner, W. H., Minor, J. M., & Snee, R. D. (1981). Time series search for trend in total ozone measurements. J. Geophys. Res., 86, 7299–7311. Stolarski, R. S., & Cicerone, R. J. (1974). Stratospheric chlorine: possible sink for ozone. Canad. J. Chem., 52, 1610–1615. Stolarski, R. S., Kruger, A. J., Schoeberl, M. R., Peters, R. D., Newman, P. A., & Alpert, J. C. (1986). Nimbus-7 SBUV/TOMS measurements of the springtime Antarctic ozone decrease. Nature 322, 808–811. Tønsberg, E., & Langlo, K. Olsen. (1944). Investigation on atmospheric ozone at Nordlysobservatoriet. Geofys. Publ. Oslo, 13, 1–25. Vassy, A., & Vassy, E. (1939). Dissymetrie da la distribution de l’ozone dans les deux hemispheres. Compt. Rendus Acad. Sci., Paris, 208, 18–29. Vigroux, E. (1953). Contribution a l”etude experimentale de l’absorbtion de l’ozone. Ann. de Phys. Paris, 8, 709–762. Vigroux, E. (1967). D’etermination des coefficients moyens d’absorption de l’ozone en vue des observations concernant l’ozone atmospherique a l’aide du spectrometre Dobson. Ann. de Phys., Paris, 2, 209–215. WMO, (1980). Report of the meeting of experts on Assessment of performance characteristics of various ozone observing systems, Boulder, Colorado, August 1980. WMO Ozone Res. & Monit. Project Report No. 9, Geneva, pp. 68.

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WMO, (1981). The Stratosphere 1981: Theory and Measurements, WMO Ozone Res. & Monit. Project Report No. 11, Geneva, pp. 515. WMO, (1985). Scientific Assessment of Ozone Depletion-1985, WMO Ozone Res. & Monit. Project Report No. 16 in 3 Vol., Geneva. WMO, (1988). Report of the International Ozone Trends Panel -1988, WMO Ozone Res. & Monit. Project Report No. 18 in 2 Vol., Geneva. WMO, (1989). Scientific Assessment of Stratospheric Ozone-1989, WMO Ozone Res. & Monit. Project Report No. 20, Geneva. WMO, (1991). Scientific Assessment of Ozone Depletion-1991, WMO Ozone Res. & Monit. Project Report No. 25, Geneva. WMO, (1994). Scientific Assessment of Ozone Depletion-1994, WMO Ozone Res. & Monit. Project Report No. 37, Geneva. WMO, (1998). Scientific Assessment of Ozone Depletion-1998, WMO Ozone Res. & Monit. Project Report No. 44, Geneva. WMO, (2002). Scientific Assessment of Ozone Depletion-2002. WMO Ozone Res. and Monit. Project Report No. 47, Geneva. WMO, (2006). Scientific Assessment of Ozone Depletion-2002. WMO Ozone Res. and Monit. Project Report No. 50, Geneva.

The Long History of Ozone: Analyses of Recent Measurements Neil R.P. Harris

Abstract The magnitude and understanding of the changes in stratospheric ozone since the 1970s are presented in this chapter. Ozone has declined over all regions outside the tropics. The emphasis in this chapter is the decline over the northern and southern mid-latitudes. For a number of years, a standard statistical approach to the analysis of ozone data has been presented in the UNEP/WMO assessments. The assumptions underlying this model are discussed and analyses of updated time series of ozone are presented. The influence of dynamical changes on the decadal evolution of ozone is becoming clearer, particularly in the more dynamically active northern hemisphere. Finally, the main factors which will determine future ozone amounts are briefly discussed. Keywords Future ozone · ozone depletion · stratospheric ozone · trend analysis

Introduction Stratospheric ozone depletion arising from the addition of trace gases resulting from anthropogenic activities has been a source of major international concern since the 1970s (Crutzen 1971; Johnston 1971; Molina and Rowland 1974; Stolarski & Cicerone 1974). In the mid to late 1980s decreasing ozone amounts were observed at polar and middle latitudes (Farman et al. 1985; Rowland et al. 1988) which were related to the release of man-made ozone depleting substances (ODS) such as chlorofluorocarbons (CFCs) and Halons. The evidence for this link between ODS and ozone depletion has strengthened significantly over the years (e.g. WMO 2007 and preceding reports referenced therein). As a result the Montreal Protocol has been modified a number of times with an international agreement reached on the increasingly strict limits on ODS N.R.P. Harris European Ozone Research Coordinating Unit, University of Cambridge Department of Chemistry, Lensfield Road, Cambridge, CB2 1EW, UK e-mail: [email protected]


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production. The effect of the implementation of the Montreal Protocol can now be clearly seen in the observational record of the atmospheric concentrations of ODS (Clerbaux & Cunnold 2007) In the absence of other atmospheric influences, the changes in the atmospheric ODS amount would be mirrored in the ozone amount. However, in reality there are many influences and so the determination of ozone trends has relied on the use of statistical models which simultaneously calculate the effect of the known (assumed), quantifiable influences. The statistical models themselves assume a simple (usually linear) relationship of ozone with ‘proxy variables’ representing the other influences. In practice, such relationships are not that simple, and some influences have to be omitted altogether because of the lack of a suitable proxy variable. The most obvious omitted influence is the dynamical activity due to changes in the stratospheric circulation and in the lowermost stratosphere where the effect of tropospheric meteorology is most keenly felt. In the first part of this chapter, the evolution of ozone from the mid-1960s to mid2007 at northern and southern mid-latitudes is presented, and the standard statistical model is described. Possible additions to the standard model to represent other influences on ozone are discussed in the light of the quality and variability in the ozone data and the likely limits to the usefulness of increasingly complex statistical models. Comparisons with models and the trends in ozone in the lower stratosphere are presented. Finally, the influences that may be important in determining future stratospheric ozone amounts are discussed.

Ozone at Northern and Southern Mid-latitudes: The Main Features The time series of total column ozone for 35◦N to 60◦ N and 35◦ S to 60◦ S are shown in Figs. 1 and 2 respectively. They both show a relatively stable period prior to 1980 followed by a decrease in the early 1990s, with a slightly larger decrease over northern mid-latitudes than over southern mid-latitudes. From this time on, the behaviour diverges, with an increase of a few percent in the northern mid-latitudes and a continued, though slower, decline in the southern mid-latitudes. In addition, there is a clear pronounced minimum over northern mid-latitudes in the first half of the 1990s, roughly coincident with and following the eruption of Mt. Pinatubo in May 1991. No comparable effect is seen in the southern hemisphere. In order to quantify how much of these changes result from chemical depletion caused by ODS, statistical models have been developed to remove the effects of other factors. The standard multiple regression model used in the UNEP/WMO Assessments includes terms for the seasonal cycle (already removed in Figs. 1 and 2), the 11-year solar cycle and the quasi-biennial oscillation in tropical stratospheric winds. The remaining trends (seasonally varying to allow for larger trends in spring than autumn for example) are interpreted as being caused by ODS. This last trend term now uses the effective stratospheric chlorine loading (EESC) as the

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Fig. 1 Total column ozone averaged over 35◦ N to 60◦ N from five total ozone observation data sets (the ground-based network, the merged SBUV/TOMS, GOME/OMI, SBUV and NIWA). Only the seasonal cycle has been removed before presentation. For more details see Chipperfield and Fioletov (2008). The plot was kindly provided by V. Fioletov

Fig. 2 Total column ozone averaged over 35◦ S to 60◦ S from five total ozone observation data sets (the ground-based network, the merged SBUV/TOMS, GOME/OMI, SBUV and NIWA). Only the seasonal cycle has been removed before presentation. For more details see Chipperfield and Fioletov (2008). The plot was kindly provided by V. Fioletov

proxy variable for the trend as it relates more directly to the effect of the ODS. Previously a linear trend term was used, but this became inappropriate after the peak halogen loading had passed in the late 1990s (see WMO 2007 and Harris et al. 2008 for further discussion).

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Other Influences on Mid-latitude Ozone While it has long been known that changes in dynamics have large effects on total ozone on short time scales (Dobson 1926), the influence of dynamic influences on ozone on decadal timescales has only become apparent more recently (e.g. Hood et al. 1997; Steinbrecht et al. 1998). However, while correlations between ozone and a number of meteorological quantities (such as tropopause height) are statistically significant, it is very hard to link these in an unambiguous causal way to particular physical processes. To first order, the processes can be divided into those in the upper troposphere and lower stratosphere (UTLS), for example, Rossby waves, where the troposphere exerts a direct and strong influence on the stratosphere, and those which affect the strength of the stratospheric circulation. It is hard to identify suitable proxy variables for either set of processes because there are no measurable quantities that can be used unambiguously and causally to represent the processes, largely because the atmosphere is closely coupled. Changes in the lower stratosphere can be seen by looking at fields such as tropopause heights, geopotential heights and PV on isentropic surfaces, but all of these are influenced by many atmospheric processes only some of which are important in determining total column ozone amounts on longer timescales. The vertical component of the Eliassen-Palm flux (a measure of the upward wave energy) has been used as a proxy for the strength of the stratospheric circulation. However, the relation of this with total ozone is not simple as the wave energy reaches different parts of the stratosphere depending, for example, on the position and strength of the polar vortex and so its effect on the total ozone column is strongly modulated. Trends in Eliassen-Palm flux were observed during the 1980s and 1990s in January and February in the northern hemisphere. However, no trends were seen over the course of the whole winter indicating that careful use of EP flux as a proxy variable in trend models is needed (Harris et al. 2008). Taking the results of all such studies into account leads to the conclusion that perhaps 30% of the trend in northern hemisphere ozone during the 1980s and early 1990s was a result of dynamical changes. Much stronger conclusions are reached regarding the increased total ozone values since then which are widely regarded as being principally caused by dynamical changes (e.g. Hadjinicolaou et al. 2005; Brunner et al. 2006; Dhomse et al. 2006). Such effects are smaller in the southern hemisphere, as evidenced in the smaller variability in Fig. 2. Another cause of the different variability in the two hemispheres is the influence of the springtime polar ozone loss. The magnitude of this does not change much in the Antarctic and so the influence on southern mid-latitudes does not vary strongly from year to year. In contrast, the chemical ozone loss in the Arctic varies greatly and enhances the natural variability resulting from inter-annual changes in dynamics. The influence of polar ozone on the mid-latitudes is thus more variable in the northern hemisphere (e.g. Braesicke & Pyle 2003). (An intriguing corollary to this is the enhanced variability at southern mid-latitudes in the early 2000s, a period of high variability in the ozone reduction over the Antarctic (compare Fig. 2 with Fig. 4.7 in Newman et al. 2007)). Attempts have been made to include the effect of


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this process in statistical models by including a term dependent on EESC and the volume of polar stratospheric clouds, but it is hard to distinguish it statistically from the more straightforward term which is simply linear dependent on EESC. While these effects are distinguishable in principle, it is hard to identify them in practice as the atmospheric signal is relatively small, similar in magnitude to unresolved natural variability and close to the observational noise (Harris et al. 2008).

Comparison with Models Comparisons of the observations at northern mid-latitudes with calculations by atmospheric models shows that 2-dimensional (2D) chemical transport models (CTMs) of the atmosphere tend to underestimate the trends in the 1980s and 1990s, while 3D CTMs driven by analysed meteorological fields do a better job (Chipperfield & Fioletov 2007). This may be due to the better representation of the inter-annual dynamic changes in the 3D CTMs, though these are still limited by errors in the meteorological analyses and/or errors in the CTM transport schemes. However, the opposite was found in the southern mid-latitudes with better agreement with 2D than 3D models, the latter calculating trends which are too large. Large uncertainties can be clearly seen in the large spread in the modelled trends calculated in the lower stratosphere (altitudes below 20 km), which is also where the observational uncertainties are larger. Increasing the background bromine concentrations have only a small effect on the modelled ozone trends, except in the low stratosphere during periods of high aerosol loading.

Recovery A number of studies have examined the observational record for signs of ozone recovery as a result of the turnaround in ODS concentrations (see Chipperfield & Fioletov 2007). These depend to a large degree on the successful separation of chemical and dynamical influences on ozone and so are subject to a fair degree of uncertainty. The most convincing evidence is in the upper stratosphere (35–45 km) where dynamical effects are small and where a distinct upturn is seen in middle latitudes in both hemispheres (W. Steinbrecht, private communication updating Steinbrecht et al. 2006).

Influences on Future Ozone It is now clear that chemical and dynamical changes have both contributed to decadal changes in the observed ozone record. CTMs are not currently reproducing the observed differences in trends between the mid-latitudes of the two hemispheres.

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Large uncertainties are still associated with observed and modelled trends in the lowermost stratosphere. Given that the lowermost stratosphere is likely to be particularly sensitive to a changing climate, this represents a significant weakness in our ability to make plausible forecasts of the future. For example, tropopause heights are increasing globally (Santer et al. 2003), while the tropical belt is widening (Seidel et al. 2007). Such changes, if sustained, will have a direct impact on future stratospheric ozone amounts. Chemistry-climate models currently struggle to represent this region well and there have to be significant uncertainties associated with how well future changes are being calculated. In addition, the stratospheric circulation will depend on how the wave forcing into the stratosphere changes in magnitude, location and what it is modulated by. Finally, an increasing input of bromine compounds into the stratosphere—as might plausibly happen as a result of higher marine production and increased strong convection—would cause trends in stratospheric ozone trends. Confidence in the quantification of most of these processes is poor at present. Acknowledgments I wish to thank Dr. V. Fioletov (AES, Canada) for his assistance by generously providing updated versions of figures produced for the 2006 UNEP/WMO Scientific Assessment of Ozone Depletion. This work was supported by the EC (project SCOUT-O3).

References Braesicke, P., & Pyle, J. A. (1993). Changing ozone and changing circulation in northern mid-latitudes: Possible feedbacks. Geophysical Research Letters, 30, 31, doi: 10.1029/2002GL015973. Brunner, D., Staehelin, J., Maeder, J. A., Wohltmann, I., & Bodeker, G. E. (2006). Variability and trends in total and vertically resolved stratospheric ozone based on the CATO ozone data set. Atmospheric Chemistry and Physics, 6, 4985–5008. Chipperfield, M. P., & Fioletov, V. E., et al. (2007) Chapter 3 in Scientific Assessment of Ozone Depletion: 2006, WMO Global Ozone Research and Monitoring Project Report No. 50, Geneva. Clerbaux, C., Cunnold, D. M., et al. (2007). Chapter 1 in Scientific Assessment of Ozone Depletion: 2006, WMO Global Ozone Research and Monitoring Project Report No. 50, Geneva. Crutzen, P. J. (1971). Ozone production rates in an oxygen-hydrogen-nitrogen oxide atmosphere. Journal of Geophysical Research, 76, 7,311–7,327. Dhomse, S., Weber, M., Wohltmann, I., Rex, M., & Burrows, J. P. (2006). On the possible causes of recent increases in northern hemispheric total ozone from a statistical analysis of satellite data from 1979 to 2003. Atmospheric Chemistry and Physics, 6, 1165–1180. Dobson, G. M. B., & Harrison, D. N. (1926). Measurements of the amount of ozone in the earth’s atmosphere and its relation to other geophysical conditions: Part I. Proceedings of the Royal Society of London, A110, 660–693. Farman, J. C., Gardiner, B. G., & Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal C1Ox /NOx interaction. Nature, 315, 207–210. Hadjinicolaou, P., Pyle, J. A., & Harris, N. R. P. (2005). The recent turnaround in stratospheric ozone over northern middle latitudes: A dynamical modelling perspective. Geophysical Research Letters, 32, L12821, doi: 10.1029/2005GL022476.


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Harris, N. R. P., Kyrö, E., Staehelin, J., Brunner, D., Andersen, S-B., Godin-Beekmann, S., et al. (2008). Ozone trends at northern mid- and high latitudes – a European perspective. Annales Geophysicae, 26, 1207–1220. Hood, L. L., McCormack, J. P., & Labitzke, K. (1997). An investigation of dynamical contributions to midlatitude ozone trends in winter. Journal of Geophysical Research, 102, 13,079–13,093. Johnston, H. (1971). Reductions of stratospheric ozone by nitrogen oxide catalysts from supersonic transport exhaust. Science, 173, 517–522. Molina, M. J., & Rowland, F. S. (1974). Stratospheric sink for chlorofluoromethanes, chlorine atom catalysed destruction of ozone. Nature, 249, 810–812. Newman, P. A., & Rex, M., et al. (2007). Chapter 3 in Scientific Assessment of Ozone Depletion: 2006, WMO Global Ozone Research and Monitoring Project Report No. 50, Geneva. Rowland, F. S., Harris, N., Bojkov, R. D., & Bloomfield, P. B. (1988). Statistical error analysis of ozone trends - Winter depletion in the northern hemisphere. In R. Bojkov and P. Fabian (Eds.), Ozone in the Atmosphere (pp. 71–75). Hampton, VA: A. Deepack. Santer, B. D., Sausen, R., Wigley, T. M. L., Boyle, J. S., AchutaRao, K., Doutriaux, C., et al. (2003). Behavior of tropopause height and atmospheric temperature in models, reanalyses, and observations: Decadal changes. Journal of Geophysical Research, 108(D1), 4002, doi: 10.1029/2002JD002258. Seidel, D. J., Fu, Q., Randel, W.J., & Reichle, T. J. (2007). Widening of the tropical belt in a changing climate. Nature Geoscience, doi: 10.1038/ngeo.2007.38. Steinbrecht, W., Claude, H., & Köhler, U. (1998). Correlations between tropopause height and total ozone: Implications for long-term changes. Journal of Geophysical Research, 103, 19183– 19192. Stolarski, R. S., & Cicerone, R. J. (1974). Stratospheric chlorine: A possible sink for ozone, Canadian Journal of Chemistry, 52, 1610–1615. World Meteorological Organization, Scientific Assessment of Ozone Depletion: 2006. WMO Global Ozone Research and Monitoring Project Report No. 50, Geneva, 2007.

The Long History of Ozone Measurements: Climatological Information Derived from Long Ozone Records Johannes Staehelin, Christian Vogler, and Stefan Brönnimann

Abstract Long-term measurements of total ozone started in the 1920s and a large number of column ozone observations using different techniques were performed prior to the International Geophysical Year (IGY 1957/58) when the presently used method for Dobson spectrophotometry (using two wavelength pair measurements) was introduced as a standard method. Only for a few series the prerequisites (considering, e.g. length of the record, sufficient documentation of observations including wavelengths used, calibration, etc,) are given for a useful and successful re-evaluation of pre-IGY total ozone measurements. In this chapter we summarize the re-evaluation and homogenization of the record of Oxford, performed in the laboratory of Dobson who is one of the most outstanding pioneers of the early atmospheric ozone research history. The Oxford series adds to a few other long-term series extending backwards beyond the IGY which were either recently re-evaluated and homogenized or tested for their reliability. The European sites Arosa (Switzerland), Oxford (United Kingdom), Lerwick (UK), Tromso (Norway), Svalbard (N), and Vigna di Valle (Italy) allow constructing a long-term interannual ozone climatology extending over more than 4 decades prior to start of the anthropogenic ozone depletion. (However, we only recommend the use of a subset of these series for long-term trend analysis.) The re-evaluated data sets are believed to be particularly useful to compare long-term ozone variability with anthropogenic forcings of the ozone layer (such as anthropogenic ozone depletion, its expected recovery from ozone depleting substances and stratospheric temperature decrease as a consequence of climate change) and to test numerical simulation performance for the pre-CFC era. Examples of other scientific applications of the ozone series related to the study of climate variability are highlighted as well. Keywords Dobson instruments Ozone · historical measurements · ozone layer · recovery J. Staehelin (B), C. Vogler, and S. Brönnimann Institute for Atmospheric and Climate Science, Swiss Federal Institute of Technology, Zürich, Switzerland e-mail: [email protected]


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Introduction Christian Friedrich Schönbein discovered ozone by electrochemical experiments in the laboratory in 1840 and the following fascinating history of the molecule ozone reflects many aspects of the evolution of modern chemistry in the nineteenth century. Two years after its discovery Schönbein was able to show that ozone is present in ambient air (Schönbein 1844), which was the beginning of the long history of atmospheric ozone research leading to the present text book knowledge that ozone is indeed a key species of the atmosphere—today we know that this molecule is responsible for the protection of the biota living on the Earth’s surface from the detrimental part of solar radiation, it is a significant greenhouse gas, the most important precursor for tropospheric oxidation capacity, and the most important species of photochemical air pollution. Based on scientific knowledge, political action was taken to protect the ozone layer with the pioneering Vienna convention (1985) and the subsequent Montreal Protocol. Its 20th anniversary was celebrated in Athens in September 2007 by many involved scientists. Atmospheric ozone history, however, is not only instructive for the development of atmospheric sciences and the interaction between science and politics, but total ozone measurements performed between the 1920s and the late 1950s contain very valuable information not only about the ozone layer prior to the disturbance by human emissions but also about the climate during an important period, e.g., when modern meteorological measurements by observations from space were not available. Regular total ozone measurements started in the 1920s, after the production of an instrument by Dobson which allowed atmospheric ozone observations with reasonable efforts (Dobson & Harrison 1926). The next generation of instruments designed by Dobson allowed for more sensitive measurements and required much shorter time for evaluation of the measurements (for more details see Section “Main design of Dobson spectrophotometers”). In this earlier time the measurements were motivated by atmospheric science questions, namely the study of the processes determining ozone in the stratosphere (Dobson & Harrison 1926; Dobson et al. 1927, 1929, 1930). In the late 1920s the basic relations between total ozone and synoptic weather conditions were established and the climatology of the worldwide ozone layer in extratropics was derived; in the early 1930s the basic features of stratospheric ozone profiles variability were established (Götz et al. 1934). In the 1930s a chemical theory for stratospheric ozone formation was presented (Chapman 1930) and the basic features of stratospheric ozone transport were determined in the following decades (Brewer 1949; Dobson 1956). A paradigm change in stratospheric ozone research occurred in the early 1970s, when anthropogenic ozone destruction started to be discussed. The effect of nitrogen oxides emitted by supersonic aircraft was first debated (Johnston 1971). However, no large such passenger fleet was ever built and therefore the problem of stratospheric ozone depletion by nitrogen oxides was no longer a topic of scientific research and public debate. In 1974 ozone depletion by chlorine radicals was studied independently by Stolarksi and Cicerone (1974) and Molina and Rowland (1974) and the latter additionally discovered a significant anthropogenic source of

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ODS production

(a)

Ozone-depleting chlorine and bromine in the stratosphere

stratospheric chlorine radicals for the (upper) stratosphere, namely the chlorofluororcarbons (CFCs). Figure 1, panel a shows the temporal evolution of the emissions of ozone depleting substances (ODS), which include CFCs (chlorofluorocarbons), halons (bromine containing gases), and HCFCs. The later also contain hydrogen and can destroy stratospheric ozone, but their contribution to ozone depletion is much smaller because they are mostly degraded in the troposphere (and therefore they were introduced as substitutes for CFCs). Starting around World War II chlorofluorocarbons (CFCs) (and in lower amounts halones) were increasingly produced and emitted into the atmosphere. The emissions of ODS decreased in the second part of the 1970s because their use as

(b)

Ultraviolet radiation change

Global ozone change

(c)

(d)

1980

Now

~2100

Fig. 1 Scheme of stratospheric ozone depletion by ozone depleting substances (ODS). (a) Production of ODS: black: Chlorofluorocarbons (CFCs) and halones; grey: HCFCs; (b) Evolution of anthropogenic stratospheric ozone depletion by ODS; (c) Stratospheric ozone; black: Measurements between 30◦ S and 30◦ N; grey: numerical simulations. (d) Solar Erythemal (ultraviolet) radiation. Gray: Erythemal changes caused by stratospheric ozone; Shaded area: including additional effects of changes in cloudiness (From MWO (2007))

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spray propellants was reduced as result of the study of Molina and Rowland. CFC emissions increased again in the early 1980s because industry found additional applications. In the second part of the 1980s production and emission of CFCs and other ODS strongly decreased following the discovery of the ozone hole and the Montreal Protocol in 1987. The documentation of significant stratospheric ozone downward trends in northern mid-latitudes and the scientific explanation of the ozone hole by ODS led to a significant strengthening of the Montreal protocol in several steps. Today it is well known that the Montreal Protocol (and its subsequent amendments and adjustments, the last (not included in Fig. 1) was decided in 2007) was very successful to limit the emissions of ODS. In addition, the Montreal Protocol also had a very beneficial effect to reduce the emissions of greenhouse gases since CFCs are also very strong greenhouse gases (Velders 2007). Stratospheric ozone depletion by ODS is described by the scale of EESC (effective equivalent stratospheric chlorine, see Fig. 1, panel b). The temporal evolution of ODS emission strength and EESC are not directly related, because ODS are not reactive in the troposphere and they need several years to be transported into the stratosphere, where they are degraded by photolysis initiating chemical ozone loss. EESC shows an almost linear increase in stratospheric chemical ozone depletion between the early 1970s and the middle of the 1990s. Ozone evolution as observed from 60◦ S to 60◦ N (see Fig. 1, panel c) seems to follow grossly EESC including the leveling off and the slight increase in the last years. It is obvious, that stratospheric concentrations of ODS will decrease in the next decades and therefore it seems most likely, that the ozone layer will slowly recover. In this chapter we aim to show how total ozone measurements prior to IGY can be treated and re-evaluated to extract reliable information and how these measurements can be used in atmospheric sciences. In the following sections we present a short overview of the design of Dobson instruments, thereafter we describe the data reevaluation of the total ozone series of Oxford (described in more detail by Vogler et al. 2007), then we show some comparison of available total ozone measurements in the pre-CFC era, and the last section contains information how these historical measurements have already been used and for which important scientific questions they might be used in future.

Design of Dobson Instruments The irradiance at the Earth’s surface in the wavelength range of 300–340 nm is measured by Dobson spectrophotometers. The first type of ozone instrument designed by Dobson was the Fery spectrophotometer used during the 1920s (Dobson & Harrison 1926); in this spectrophotometer the light was measured at several wavelengths and the signal was registered on photographic plates. The determination of the ozone content from the signal of the photographic plate was rather time consuming. Around 1930 Dobson developed a new type of instrument, in which the difference of the irradiance of two wavelengths (wavelength pair) was determined


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using an optical wedge and the measurement result was registered by photoelectric detection (Dobson 1931). This type of instrument was more sensitive and the determination of the ozone content from the measurements was much less time consuming. After World War II photomultipliers became available allowing for enhanced sensitivity (Normand & Kay 1952). This type of instrument is (using modern electronics) still in use in the ground-based ozone network which is operated under the auspices of the WMO (World Meteorological Organization). In the wavelength range of 300–340 nm atmospheric ozone attenuates the solar radiation which allows determination of the total ozone amount. Additionally the solar light is diminished by molecular scattering (Rayleigh scattering) when passing through the atmosphere which can be easily accounted for. More difficult is the appropriate handling of the term of aerosol (Mie) scattering, because aerosol content strongly varies with atmospheric pollution. In order to minimize aerosol scattering two wavelength pairs can be used in ozone determination because aerosol scattering only weakly depends on wavelength in the range of 300–340 nm. Two wavelength pair measurements were introduced as world standard in IGY (Dobson 1957a, b). The measurement of direct sun radiation allows the most precise total ozone determination. Ozone content also can be measured on blue or cloudy sky conditions (so-called zenith blue and zenith cloud observations). Such measurements need to be calibrated by direct sun observations performed before and after zenith cloud/zenith blue measurements. The measurements of Dobson instruments need to be calibrated requiring knowledge of the extraterrestrial solar intensity at the respective wavelengths. This information can be obtained by extrapolation of measurements at different solar angles (Langley plot method, see Dobson 1957a). However, this requires constant total ozone amount for at least a half day, which is difficult to ensure in extratropics because of natural total ozone fluctuations. In order to overcome this problem the Dobson World standard instrument is presently calibrated by the Langley plot method at the Mauna Loa Observatory at Hawaii. Another approach to obtain the instrumental constants is to use the measurements of an ensemble (performed, e.g., during 1 year) instead of measurements of one single half day, as proposed by Dobson and Normand (1962; see also Dütsch 1984). The individual Dobson instruments used in the earlier time were calibrated by side by side comparison in Dobson’s laboratory in Oxford, and the respective instrumental constants (including extraterrestrial) were provided to the operators when the instruments were shipped.

Digitization and Homogenization of the Oxford Series The original observation record of the Oxford measurements was obtained from Clive Rodgers of the University of Oxford. Photo copies were transported to ETH in Zürich and all data on the sheets were digitized. The availability of the measurements and of their types (see Figs. 2 and 3) strongly varies over time making the homogenization a rather difficult task.

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Fig. 2 Instruments and wavelengths used in the total ozone measurements made in Oxford (UK) (From Vogler et al. 2007)

3500 undef. ZC ZB DS

3000 2500 2000 1500 1000 500 0 1925

1930

1935

1940

1945

1950

1955

Fig. 3 Time series of number of measurements available from the total ozone series of Oxford. DS: Direct sun observations; ZC: Zenith cloud observations; ZB: Zenith blue observations (see text) (From Vogler et al. 2007)

The basic approach for homogenization was the following. The measurements were first converted into the presently used ozone absorption scale (Bass and Paur), making use of the information of the ozone absorption scale used at the time the measurements were performed. The Fery spectrophotometer data were not reevaluated but corrected by an offset proposed by Dobson (Dobson et al. 1927). The aerosol scattering is a particularly difficult problem for single wavelength pair observations, which were standard practice before IGY. However, some wavelength


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pair measurements were performed already earlier allowing constructing transfer functions. A similar statistical approach was used to determine transfer functions between direct sun and zenith blue/zenith cloud observations allowing integrating these types of observations in the re-evaluated series (for more details see Vogler et al. 2007). For the large number of measurements performed between 1940 and 1944 the extrapolated values for the extraterrestrial constants derived from ensembles of observations using the statistical Langley plot approach (compare Dobson & Normand 1962 and Dütsch 1984) provide evidence, that the instrument was stable during this period. The stability of the calibration scale between the individual periods of measurements was studied by comparison with a homogeneous reference series which is based on local meteorological variables and correlates well with ozone: Ref400 hPa = a + b T400 hPa + c Z400 hPa

(1)

where: T400 hPa : temperature at 400 hPa, Z400 hPa : 400 hPa geopotential height. The parameters a, b, c were determined by regression using Oxford total ozone measurements between October 1957 and 1963 on the left-hand side: Oxf = a + b T400 hPa + c Z400 hPa + ε

(2)

The following meteorological data were available for this analysis: – after 1948: daily reanalysis data (NCEP/NCAR; Kistler et al. 2001) – 1939–1944: daily aircraft data close to Oxford – 1924–1947: Monthly means reconstructed based on surface temperature and pressure data The comparison of the historical total ozone series from Oxford with Ref400 hPa revealed significant biases in some periods. These biases were corrected according to Ref400 hPa . After this homogenization the difference between total ozone at Oxford and Arosa (Switzerland), which serves as an independent test, revealed a much better agreement (except some periods in the 1950, see Vogler et al. 2007).

Results and Discussion Total ozone was measured at many sites prior to IGY and different types of instruments were used (Brönnimann et al. 2003a). Only at a few sites measurements were continued over extended periods. The measurements were performed for scientific studies. The goals of such measurements were to extend the knowledge of ozone climatology and to explore relations between total ozone and synoptic

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meteorology with the ultimate goal to improve weather forecast. The results of total ozone measurements were submitted to an archive operated under the auspices of the international ozone commission. However, the data quality of the measurements of many stations was judged to be low. The measurements of Oxford were used in the early pioneering publications of the group of Dobson and his co-workers (Dobson & Harrison 1926; Dobson et al. 1927, 1929, 1930). The measurements were continued until 1975 but the Oxford total ozone measurements appear in the scientific literature only in the publication of Goldsmith et al. (1973). This can probably be explained by the fact, that Dobson and Normand were aware of the problems of the absolute calibration of the spectrophotometers using the Langley plot method with measurements at Oxford and the results of these calibrations obviously did not satisfy their high scientific demands (Dobson & Normand 1962). It is interesting to note, that Dobson and Normand already reported in 1962 about the benefits of measurements in Hawaii in order to get reliable Langley calibration results. This can be regarded as the start of the history of the modern worldwide Dobson monitoring network, continued until present under the auspices of WMO (Komhyr et al. 1989). Furthermore the study of Vogler et al. (2007) confirmed instrumental breaks in the Oxford series, which we tried to overcome as best as possible applying the homogenization described in the previous chapter. Besides the measurements of Oxford the total ozone series of several sites were re-evaluated during the last decade. An overview of the sites with evaluated/tested long-term total measurements performed prior to IGY is shown in Fig. 4, which cover Europe extending from 42◦ N to 79◦ N, and include the series of Arosa (Switzerland, see Staehelin et al. 1998a), Tromso (Hansen & Svenoe 2005), and Svalbard (Vogler et al. 2006). The data series of Tromso and Svalbard were recently re-evaluated completely independently. The re-evaluated Oxford series was validated by comparison with the homogenized Arosa series; also the historical measurement series of Vigna di Valle (Italy) and Lerwick (UK) were tested by comparison with the Arosa series (Brönnimann et al. 2003b), while this type of comparison data led to the conclusion, that other European pre-IGY data are of minor data quality and were therefore ignored in this chapter (see Brönnimann et al. 2003b). These measurements (see Fig. 5) can be used to construct reliable information on the climatology of total ozone over Europe (see Vogler et al. 2007), but only the measurements from Tromso (Hansen & Svenoe 2005) and Arosa (Staehelin 1998b) have been used for long-term trend analyses, since a data quality control program between station and reference instruments were not part of the standard practice before the middle of the 1970s and most of the stations did not provide continuous measurements extending into the recent time.


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Fig. 4 Map of sites of long-term European ozone series which were either re-evaluated and homogenized or tested by comparison with nearby series (see text) (From Vogler et al. 2007)

Conclusions and Outlook In the middle of the 1970s the human destruction of stratospheric ozone by ODS was discovered and since then high-quality measurements used for monitoring of total ozone become an important topic; note, that the documentation of the effect of ODS on the ozone layer is a difficult task because natural fluctuations strongly mask the signals of anthropogenic ozone depletion in mid-latitudes. A network of groundbased Dobson spectrophotometers is operated since the 1970s under the auspices of the World Meteorological Organization (WMO), which relies on the primary Dobson instrument which is maintained by NOAA-ESRL at Boulder (Co, USA) and regularly calibrated by the Langley plot method at the Mauna Loa Observatory

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Fig. 5 Time series of long European total ozone observations extending backwards beyond the International Geophysical Year (see text). For sites see Fig. 4. (Note that only the series of Arosa (Switzerland) and Lerwick (UK) are entirely based on total ozone measurements performed by Dobson instruments, whereas other series also include satellite measurements or total ozone observations by Brewer instruments (for details see Vogler et al. [2007])

in Hawaii. A similar network is based on measurements of the more recently developed Brewer instrument which are commercially available since the middle of the 1980s. Since 1979 the worldwide ozone shield is monitored by different satellite instruments which provided data with quasi global coverage. Ozone satellite measurements need comparison with high-quality ground-based measurements for data quality assurance. Several data sets were constructed to combine the individual satellite measurements to a global long-term series most suitable for long-term ozone trend analysis. These efforts need to be continued since satellite measurements can suffer from instrumental drifts and offsets between individual satellite instruments which needs to be accounted for. Continuous observations of high data quality are also very important for documentation of the future evolution of the ozone shield, which is expected to recover from the burden of ODS. This process is predicted to be very slow and did not start at the present time for Antarctica, where ozone depletion is believed to be saturated by ODS for the next years. Because of the large inter-annual meteorological variability the unambiguous signal of the benefit of the Montreal protocol needs further high quality measurements in the coming years (WMO 2007).


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Numerical simulations are the only tools able to predict the future ozone level. The numerical models show a large spread in future stratospheric ozone for the time, when ODS will be essentially removed from the stratosphere (see Fig. 1, panel c). Some of the models expect much higher stratospheric ozone concentrations than they were in the period before the 1970s, e.g. in the pre-CFC era. This “super recovery” is explained by the fact, that stratospheric temperature decreased (and are expected to decrease further) in parallel to the temperature increase in the troposphere originating from the greenhouse gas warming. A considerable part of the tropospheric ozone budget originates from transport from the stratosphere (e.g. Stevenson et al. 2005). Therefore, a substantial increase in ozone in the lower most stratosphere over the extratropics could increase ozone concentrations in the troposphere, particularly in the tropopause region, where ozone is known to be a strong greenhouse gas. During the 1990s ozone in the lowest part of the stratosphere in northern extratropics increased (most likely as consequence of the record low ozone values following Mt. Pinatubo eruption in the early 1990s and longterm climate variability). In the same period also tropospheric ozone background values in large part of the northern extratropics increased as measured by ozone sondes in Canada (Tarasick et al. 2005), high mountain sites in Europe, background measurements at a coastal site in Ireland (Simmonds et al. 2005) and from regular aircraft in the tropopause region (Thouret et al. 2006) and a strong correlation between lower-most stratospheric ozone and ozone at Alpine mountain sites was documented (Ordonez et al. 2007). Such studies suggest, that a “super recovery” (if ozone substantially increases in the lower most stratosphere) could possibly significantly enhance radiative forcing in the future. Over the last decade several total ozone series, some extending backwards to the 1920s, were carefully evaluated allowing to construct a reliable climatology of the northern mid-latitude extratropics (compare also Brönnimann et al. 2007a). These measurements might be used for the following purposes: – Evaluation of long-term stratospheric ozone variability, which is important in the context of the evaluation of the turn-around and the ozone recovery. – Evaluation of numerical simulations which are used for the prediction of the ozone layer in the post CFC era. Such data comparison might be very useful to assess the reliability of numerical prediction of the possible “super recovery,” which might significantly affect our future climate. In addition to these topics directly linked to stratospheric ozone, the data sets can be used to study long-term climate variability, since total ozone is strongly linked to tropospheric variability: – Brönnimann et al. (2004) included total ozone measurements in their study, in which they showed how extreme El Nino events can affect temperature in Europe. – Total ozone measurements were used to test the reliability of QBO reconstructions of the period 1924–1957 (Brönnimann et al. 2007b). Acknowledgment We thank Clive Rodgers, Oxford University, for providing us with the original observation sheets made in Oxford from 1933 to 1957 of the Oxford data set and Marjory Abraham,

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Walter Dann, Claudia Mohr, Bernhard Krähenmann and Stefan Krähenmann for digitizing the ozone data. The project was supported by the Swiss Science Foundation (SNF) (project “Past climate variability from an upper-level perspective”).

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Goldsmith, P., Tuck, A. F., Foot, J. S., Simmons, E. L., & Newton, R. L. (1973). Nitrogen oxides, nuclear weapon testing, Concorde, and stratospheric ozone. Nature, 244, 545–551. Götz, F. W. P., Meetham, A. R., & Dobson, G. M. B. (1934). The vertical distribution of ozone in the atmosphere. Proceedings of the Royal Society of London, A145, 416–446. Hansen, G., & Svenoe, T. (2005). Multilinear regression analysis of the 65-year Tromso total ozone series. Journal of Geophysical Research, 110, D10,103, doi: 10.1029/2004JD005387. Johnston, H. (1971). Reduction of stratospheric ozone by nitrogen oxide catalysts from super sonic transport exhaust. Science, 173, 517–522. Kistler, R., et al. (2001). The NCEP-NCAR 50-year reanalysis: Monthly means CD-ROM and documentation. B. Am. Meteorol. Soc., 82, 247–267. Komhyr, W. D., Grass, R. D., & Leonard, R. K. (1989). Dobson spectrophotometer 83: A standard instrument for total ozone measurements, 1962–1987. Journal of Geophysical Research, 94(D7), 9847–9861. Molina, M. J., & Rowland, F. S. (1974). Stratospheric sink for chloroflouromerhanes: Chlorine atom-catalysed desctruction of ozone. Nature, 249, 810–812. Normand, W. B., & Kay, R. H. (1952). Notes on the design, adjustment and calibration of spectrophotometers. J. Scient. Instr., 29, 33–39. Ordón˜ ez, C., Brunner, D., Staehelin, J., Hadjinicolaou, P., Pyle, J. A., Jonas, M., et al. (2007). Strong influence of lowermost stratospheric ozone on lower free tropospheric ozone changes over Europe, Geophysical Research Letters, 34, L07805, doi: 10.1029/2006GL029113. Schönbein, C. F. (1844). Abhandlungen der Bayrischen Akademie der Wissenschaften Naturwissenschaftlich- mathematische Klasse. München 1844, p. 257. Simmonds, P. G., Manning, A. J., Derwent, R. G., Ciais, P., Ramonet, M., Kazan, V., et al. (2005). A burning question. Can recent growth rate anomalies in the greenhouse gases be attributed to large-scale biomass burning events. Atmosphere and Environment, 39, 2513–2517. Staehelin, J., Renaud, A., Bader, J., McPeters, R., Viatte, P., Högger, B., et al. (1998a). Total ozone series of Arosa (Switzerland). Homogenization and data comparison. Journal of Geophysical Research, 103, 5827–5841. Staehelin, J., Kegel, R., & Harris, N. R. P. (1998b). Trend analysis of the homogenized total ozone series of Arosa (Switzerland), 1926–1996. Journal of Geophysical Research, 103, 8389–8399. Stevenson, D. S., et al. (2006). Multimodel ensemble simulations of present-day and near future tropospheric ozone. Journal of Geophysical Research, 111, D08301, doi: 10.1029/ 2005JD006338. Stolarski, R. S., & Cicerone, R. J. (1974). Stratospheric chlorine: A possible sink for ozone. Canadian Journal of Chemistry, 52, 1610–1615. Tarasick, D. W., Fiolettov, V. E., Wardle, D. I., Kerr, J. B., & Davies, J. (2005). Changes in the vertical distribution of Ozone over Canada from ozonesondes: 1980–2001. Journal of Geophysical Research, 110, D02304, doi: 10.1029/2004JD004643. Thouret, V., Cammas, J. P., Sauvage, B., Athier, B., Zbinden, R. M., Nédélec, P., et al. (2006). Tropopause referenced ozone climatology and inter-annual variability (1994–2003) from MOZAIC programme. Atmospheric Chemistry and Physics, 6, 1033–1051. Velders, G. J. M., Anderson, S. O., Daniel, J. S., Fahey, D. W. & McFarland, M. (2007). The importance of the Montreal Protocol in protecting climate. PNAS, 104, 4814–4819. Vogler, C., Brönnimann, S., & Hansen, G. (2006). Re-evaluation of the 1950–1962 total ozone record from Longyearbyen, Svalbard. Atmospheric Chemisrty and Physics, 6, 4763–4773. Vogler, C., Brönnimann, S., Staehelin, J., & Griffin, R. E. M. (2007). The Dobson total ozone series of Oxford: Re-evaluation and applications. Journal of Geophysical Research, 112, D20116, doi: 10.1029/2007JD008894. WMO (2007): Scientific Assessment of Ozone Depletion: 2006, Global Ozone Res. Monit. Proj. Rept. 50, World Meteorological Organization (WMO), Geneva, Switzerland.

Part IV

Ozone Measurements

International Multi-Instruments Ground-Based Networks: Recent Developments Within the Network for the Detection of Atmospheric Composition Changes Sophie Godin-Beekmann

Abstract The necessity for a careful monitoring of the endangered ozone layer was considered to be of prime importance after the discovery of the Antarctic hole in the early 1980s. To that aim, a ground-based global network was established in 1991 in order to monitor not just the ozone but also the chemical and physical parameters that influence the ozone budget. The Network for the Detection of Stratospheric Changes (NDSC) relied on the worldwide measurement stations equipped with multiple instruments for the parallel monitoring of a variety of atmospheric parameters involved in the ozone depletion issue. In recent years, new developments in the measurement techniques broadened the scope of the network to the monitoring of atmospheric composition in the free and upper troposphere. The name of the network was changed to Network for the Detection of Atmospheric Composition Changes (NDACC) in order to reflect these new priorities. At present, the NDACC includes more than 70 research stations throughout the world, equipped with active and passive remote sensing instruments to monitor the atmospheric composition and its link to climate change. This chapter provides an overview of the network implementation and operation, with particular emphasis on data quality issues. It includes examples of recent results on the long-term evolution of atmospheric parameters relevant to ozone depletion and describes the new development in the network-observing capabilities. Keywords Atmospheric composition · ground-based measurement · ozone recovery · remote sensing · trend studies · validation

S. Godin-Beekmann Service d’Aéronomie – Institut Pierre Simon Laplace, Centre National de la Recherche Scientifique, Université Pierre et Marie Curie, Paris, France e-mail: [email protected]


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Introduction The discovery of the Antarctic ozone hole in the early 1980s triggered multiple investigations on the ozone layer. The understanding of the mechanisms responsible for the massive ozone destruction in Antarctica emphasised the importance of heterogeneous chemistry with respect to the stratospheric ozone budget. It was shown in particular that the influence of anthropogenic halogen compounds on stratospheric ozone was maximum in both the upper and lower stratosphere at a global scale (Stolarski et al. 1998). Subsequent long-term trend studies showed that ozone depletion was indeed highest in the lower stratosphere and around 40 km, with trends in the former region providing the largest contribution to the total ozone decrease. In addition, substantial losses have been reported in the Arctic for various winters during the 1990s and the first decade of the twenty-first century (Newman et al. 2007). The causes of the mid-latitude ozone decrease, which was strongest during the 1990s, are more complex: apart from the impact of polar ozone losses on mid-latitude regions through vortex erosion events and dilution after the vortex final break-up, the mid-latitude ozone loss can be attributed to specific chemical reactions involving very short-lived substances and sulphate aerosols, as well as to changes in the meridional circulation and mixing processes between mid-latitude and tropical regions. A full understanding of the various causes of ozone decrease at a global scale requires accurate long-term measurements of not just ozone but also a broad range of chemical species and long-lived tracers that influence the ozone budget in the stratosphere. In response to the Montreal protocol, which underlined the necessity for careful monitoring of ozone and related species around the globe, the Network for the Detection of Stratospheric Changes (NDSC) was created in 1991. The objective of this network was to establish a database of high-quality, ground-based measurements based on various instrumental techniques, in order to monitor the short-term and long-term variability of various stratospheric parameters, including ozone, and to understand the causes of the observed changes and their impacts on the lower atmosphere and at the ground. The NDSC complemented the already existing networks for ozone monitoring, which had operated under the umbrella of the World Meteorological Organisation, as part of the Global Atmospheric Watch (GAW) programme: the Dobson and Brewer spectroradiometer networks monitoring the total ozone content and the ozonesonde network measuring the ozone vertical distribution. More information on GAW can be found in http://www.wmo.int/pages/prog/arep/gaw/gaw home en.html. More recently, new developments in the measuring techniques showed that the monitoring capabilities of NDSC were not only limited to the stratosphere, but could also address scientific issues in the free troposphere. In order to reflect these changes, the name of the network was changed to NDACC for Network for the Detection of Atmospheric Composition Changes. Considering the nearly 20-year existence of the NDACC, it is impossible to explain in one chapter the numerous scientific results that have been obtained in the frame of the network. The objective here is merely to provide a short overview

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of the network’s operation, its quality assurance procedures and highlight some scientific achievements. The chapter is organised as follows: after the description of the network structure, the data quality issues and satellite validation studies are addressed in Sections 3 and 4. Some examples of scientific results are provided in Sections 5 and 6. Recent developments in the measurement techniques are described in Section 7, followed by conclusions in Section 8.

Scientific Goals and Structure of the NDACC The NDACC is a research network built through the collaboration of national and international agencies. Its specific scientific goals are: – To quantify the variability of atmospheric composition and physical state of the stratosphere and upper to free troposphere, in order to permit an early detection of long-term changes. – To provide an independent calibration and validation of satellite sensors. – To produce validated data sets for testing chemistry transport models. – To support field campaigns focusing on specific scientific issues at various latitude ranges. – To establish the link between changes in stratospheric ozone, surface UV radiation, tropospheric chemistry and climate. The measurements priorities of the NDACC include ozone (total content and vertical distribution), temperature, aerosols and chemical parameters that affect the ozone budget. Table 1 lists the main parameters measured within the NDACC, the instrumental technique used and the rationale for their measurements. Considering the global aspect of the ozone depletion issue and its link to climate, the locations of NDACC stations have been selected to provide a large latitudinal coverage, given the constraints of national funding. At present, the network is composed of five primary stations located in the northern and southern polar latitudes, in the northern and southern mid-latitudes and in the northern tropical region. In these primary stations, different instrumental techniques are implemented in order to measure a large suite of the NDACC key parameters listed in Table 1. Due to the specificity of each site, the constraints of the instrumental techniques with respect to clear skies or site elevation and the already existing instruments, the primary stations comprise several stations located in a range of 1,000 km at most, which is reasonable considering the spatial scale of the dynamical and chemical processes in the stratosphere. The co-location of various instruments is particularly useful for the understanding of the causes of observed changes in the measured parameters. For measurements in the free troposphere, the composite aspect of the primary stations is less pertinent. In addition to the primary stations, the NDACC includes more than 60 complementary stations, in which one or more of the key parameters of the

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Table 1 Key NDACC measurements Measurements

Altitude range (km)

Ozone total column

Ozone profile

Temperature profile ClO profile H2 O profile

Aerosol distribution NO2 stratospheric column ClONO2 , CH4 , HCl, CFCs total column Surface UV radiation

0–12 10–50 15–65 0–32 15–35 30–35 25–45 0–14 0–30 25–80 0–30

Instrument types Dobson, Brewer spectrophotometer DOAS, UV–Vis spectrometer Tropospheric DIAL Stratospheric DIAL Microwave radiometer Ozone sondes Raman lidar Rayleigh lidar Microwave radiometer Raman lidar Hygrometer sondes Microwave radiometer Backscatter lidar Raman lidar UV–Vis spectrometer FTIR FTIR

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network are measured. In order to ensure homogeneity on the quality of NDACC data products, the complementary measurements are required to meet the same standards as those performed in the primary stations. Figure 1 shows the geographical coverage of the network, including both the primary and complementary research stations. More information on the NDACC sites and archived data can be found in the NDACC web site: http://www.ndacc.org. The various observations obtained in the frame of the network are under the responsibility of scientific principal investigators (PIs) who are involved in the scientific validation of their measurements and have to report each year on the status of their instruments and the number of observations performed. The network is organised in working groups corresponding to the various instrumental techniques selected within the network and scientific activities. At present, there are nine Working Groups (WG): Lidar remote sensing, UV–Visible (UV–Vis) spectrometers, Fourier Transformed Infrared (FTIR) spectrometers, Microwave spectrometers, Ozonesondes, Dobson and Brewer spectrophotometers, spectral UV, Satellite and Theory and Analysis. Each WG meets every 1 or 2 years. Individual PIs meet during intercomparison exercises.

International Multi-Instruments Ground-Based Networks 139

Fig. 1 Map of the primary and complementary NDACC stations

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The network is managed by a Steering Committee, which meets annually in order to evaluate the scientific activity of the network. The NDACC Steering Committee consists of two co-chairs, nine pairs of PIs representing each WG, independent scientists who are appointed to act as peer reviewers and ex officio members from important NDACC funding agencies. The WG co-chairs are elected by the PIs involved in the WG, while the NDACC co-chairs are elected by the Steering Committee.

Data Quality Issues Commitment to data quality is essential for achieving the goals for the network in terms of trend detection and satellite validation. Homogeneity is required on the temporal scale for individual instruments, and on the horizontal scale for the various instruments of the same kind involved in the network and measuring the same geophysical quantity. The main limitations for trend detection, in addition to natural variability, are temporal discontinuities in the measurement time series. Instrumental changes inevitably occur in experimental set-ups deployed for decadelong measurements. So instrumental drifts or shifts are always possible and can be a severe limitation for the investigations of long-term change. For satellite validation, horizontal homogeneity of the correlative measurements is required in order to be able to quantify possible latitudinal bias of the satellite instrument. The NDACC instruments are research prototypes that are generally different in their experimental design. Systematic differences in the measurement capability that are of particular relevance for data quality must be critically analysed and possibly discarded. This is why strict quality control procedures have been implemented within the NDACC under the responsibility of the various instrument working groups. These procedures include retrieval algorithms intercomparison exercises (e.g. Steinbrecht et al. 1997; Godin et al. 1999 for aerosol and ozone lidar algorithms). Such exercises aim at identifying inconsistencies in the data analysis process among the various research groups. For the remote sensing instruments, they also enable the selection of the most suitable spectroscopic parameters. Numerous field intercomparison campaigns have also been organised within the network. Such campaigns generally include a ‘blind’ period during which the exchange and discussion of measurements is prohibited. These campaigns are supervised by a neutral referee who is not involved in the campaign. As an example, the first formal intercomparison of NO2 measurements by UV–Vis spectrometers using the differential optical absorption spectroscopy (DOAS) method was organised at Lauder, New Zealand, in 1992 (Hofmann et al. 1995). The most recently published campaign for this type of instrument was carried out in Andenes, Norway, in February–March 2003. The campaign aimed at investigating measurements of NO2 , BrO and OClO in high solar zenith angle conditions. The results showed that for the NO2 data obtained in solar zenith angles conditions ranging between 75◦ and 95◦ , all instruments agreed within 5% with imposed analysis parameters in the 425–450 nm range (Vandaele et al. 2005).


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Similar intercomparison campaigns have been organised by the Microwave, FTIR, lidar and spectral UV working groups. In the case of the lidar instruments that are generally not transportable, a mobile system was developed by NASA in order to visit the different stations of the network (McGee et al. 1991). A review of the results of the various ozone and temperature lidar intercomparison campaigns can be found in Keckhut et al. (2004). Most of these campaigns have also included comparisons with co-located radiosondes or microwave radiometers measurements, as well as close-by satellite measurements.

Satellite Validation As mentioned previously independent calibration/validation of atmospheric chemistry satellites is a major goal of the NDACC. Indeed, ever since the implementation of the network, the various ground-based measurements taken as part of the NDACC have been used for that purpose. Such a use of NDACC data has grown over the years as confidence in the quality and stability of the different time series has also increased. One can refer to the NDACC satellite WG web site for a complete list of related publications. The most recent validation exercises have concerned the Global Ozone Monitoring by Occultation of Stars (GOMOS), the Michelson interferometer for Passive Atmospheric Sounding (MIPAS) and the Scanning Imaging Absorption Spectrometer for Atmospheric CHartographY (SCIAMACHY) instruments dedicated to atmospheric chemistry on board the ENVISAT European platform launched in March 2002. Several projects have been funded by the European Space Agency for the long-term validation of ENVISAT products using NDACC measurements, e.g. the EQUAL and CINAMMON projects (Meijer et al. 2006; Lambert et al. 2003). The NDACC has also contributed to the validation of MAESTRO and ACE instruments launched by the Canadian Space Agency in 2003, and of SMR and OSIRIS instruments on board the European ODIN satellite launched in 2001. More recently, NDACC data were used for the validation of high resolution dynamics limb sounder (HIRDLS), multiple listing service (MLS) and ozone monitoring instrument (OMI) measurements on board the AURA platform launched by NASA in 2004 (e.g. Jiang et al. 2007 and other articles on AURA validation special issue in the same journal).

Long-Term Trend Studies The NDACC measurement time series have been involved in numerous studies dedicated to the understanding of the ozone depletion processes and the assessment of the success of the Montreal protocol. These studies addressed a variety of issues such as the short-term variability and long-term evolution of stratospheric ozone from multiple instruments (e.g. Calisesi et al. 2000; Guirlet et al. 2000), the monitoring of ozone depleting substances in the stratosphere, trend analyses of

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various parameters playing a role in ozone depletion (e.g. NO2 total content, stratospheric temperature and aerosol) or the evolution of surface UV radiation in various latitudinal ranges.

Ozone Depleting Substances Column observations of hydrochloric acid (HCl) and chlorine nitrate (ClONO2 ) can be used to evaluate the total inorganic chlorine (Cly) content in the stratosphere, resulting partly from the breakdown of chloroflurocarbons (CFC) and hydrochlorofluorocarbons (HCFC). FTIR time series from three NDACC stations with measurements spanning more than 20 years have been used to evaluate the compliance to the Montreal protocol through the long-term evolution of Cly. These observations provided evidence for the stabilisation in total chlorine loading, with a broad peak starting at the end of the 1990s, following a rapid build-up during the 1980s (Rinsland et al. 2003). Figure 2 provides an update to the NDACC time series from the Jungfraujoch station measurements extending through 2004. It indicates that Cly has decreased slowly since it peaked in late 1996, at the limit of being statistically significant at two standard deviation level (Mahieu et al. 2004). Chlorine monoxide (ClO), one of the most important parameters in ozone depletion processes is also monitored within the NDACC by microwave spectrometers. Figure 3 displays a long-term times series of stratospheric ClO mixing ratio from 1982 to December 2004 near the peak of the altitude profile at 35–39 km (4 hPa) above Hawaii (20◦ N). The trend shows a rapid rise of 58% from 1982 to a broad maximum in 1994–1997, and a substantial decline of 1.5%/year from the maximum through late 2004. About one third of the decline, which is steeper as compared to Cly trends deduced from FTIR measurements, may be due to increases in stratospheric methane (Solomon et al. 2006). These observations are broadly consistent with the rise in total chlorine due to human activities and recent declines due to the Montreal Protocol.

Long-Term Evolution of Ozone in the Upper Stratosphere As mentioned previously, investigations of long-term ozone trends showed that ozone depletion was largest in the lower and higher stratosphere. Outside Polar Regions in winter–spring, the contribution of chlorine radicals (ClOx ) to ozone loss is maximal in the latter altitude range. The upper stratosphere is thus expected to be one of the most sensitive regions to total chlorine decline following the Montreal protocol. Long-term measurements of ozone by lidar and microwave spectrometers performed within the NDACC have been used to study the evolution of ozone in the upper stratosphere over the last decades. Figure 4 shows the evolution of upper stratospheric ozone relative anomalies, averaged between 35 and 45 km altitude,


CCly (ppbv) Total Column Abundance (x 1015 molec./cm2)

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Fig. 2 Top: Time series of monthly mean total column HCl (red circles) and ClONO2 (green triangles), as derived from the Jungfraujoch (46.5◦ N) observational database; Cly (blue triangles) results from the summation of the corresponding HCl and ClONO2 data points. Thick black curves: nonparametric least-square fits to these datasets; top orange curve: sum of the HCl and ClONO2 columns calculated by the University of Leeds 2-D model. Bottom: Evolution of total surface organic chlorine derived from measurements performed by the AGAGE network. The tropospheric chlorine trend is also shown with a 3.5-year time shift (magenta line) for a better comparison with stratospheric data (Updated from Mahieu et al. [2004])

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Fig. 3 Trend in daytime stratospheric ClO mixing ratio from 1982 to December 2004 near the peak of the altitude profile at 35–39 km (4 hPa) above Hawaii (20◦ N). Black symbols are weekly averages of deseasonalised measurements. Red symbols are yearly averages. The blue curve is the trend in total tropospheric chlorine and the green curve is total tropospheric chlorine shifted by 3.4 years to account for the difference in age of air

from such measurements, for five stations (Steinbrecht et al. 2006). The corresponding zonal averages from satellite data (SAGE, SBUV and HALOE) are also plotted. Anomalies are defined as the deviation of individual monthly means from the average climatological annual cycle. Ozone anomaly time series from all instruments track each other very well and typically agree within 3−5%. All records starting before 1990 clearly show the long-term decline of ozone in the upper stratosphere. Upper stratospheric ozone trends before 1997 were about −6%/decade at the northern mid-latitude stations, almost −8%/decade at Lauder in southern mid-latitudes and only −4.5%/decade at subtropical Hawaii. Figure 4 shows that the ozone levels seem to follow an inverse chlorine curve, and at many stations the previously steep ozone decline has not continued in the last 5 years. These results confirm the study of Newchurch et al. (2003), using SAGE data, which emphasised the lack of decline of ozone in the upper stratosphere since 1997.

NO2 Long-Term Trends The integrated content of nitrogen dioxide, another important parameter relevant to the ozone depletion issue, is monitored within the NDACC by UV–Vis spectrometers using the Differential Optical Absorption Spectroscopy (DOAS) method. The NO2


35 to 45 km ozone anomaly [%]

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Lidar, μWave, SAGE, HALOE, SBUV Hohenpeissenberg /Bern (48°N)

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Fig. 4 Upper stratospheric ozone anomalies (5-month running mean) as measured by groundbased lidars and microwave radiometers at selected stations of the Network for the Detection of Atmospheric Composition Change (NDACC), and by the corresponding zonal means from the satellite-borne Stratospheric Aerosol and Gas Experiments (SAGE, v6.20), Halogen Occultation Experiment (HALOE, v19) and Solar Backscatter Ultraviolet instruments (SBUV). Anomalies are averaged over the altitude range from 35 to 45 km, or the pressure range from 6.4 to 1.6 hPa for SBUV (V8-merged dataset). For clarity, 5-month running means are plotted. Magenta curve: Equivalent Effective Stratospheric Chlorine (EESC) computed for age of air spectrum with mean age of 6 years and width of 3 years, and zero bromine. Thin black curve at the bottom shows the solar flux at 10.7 cm (Adapted from Steinbrecht et al. [2006])

radical is involved in the catalytic loss of ozone by the nitrogen (NOx ) family, which is largest in the middle stratosphere. It is also a key compound in the coupling of nitrogen, chlorine and hydrogen families, leading to the formation of ClONO2 and HNO3 . The longest NO2 time series is provided by DOAS measurements at Lauder (New Zealand). Figure 5 shows the linear trend of NO2 over Lauder as a function

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Fig. 5 Trend of the NO2 slant column density from DOAS sunrise (a.m.) and sunset (p.m.) measurements at Lauder (New Zealand), as a function of end year of the analysis. The bars show one standard deviation limits for secular trend from 1981 in a multidimensional model with autocorrelation correction (B. Liley, personal communication, 2007)

of the end year of the analysis. The trend was computed from the slant column densities (SCD) using a multidimensional model with autocorrelation correction (Liley et al. 2000). The SCD corresponds to the integrated content of NO2 along the path of sunlight from the top of the atmosphere to the instrument. As the time series that started in 1980 has accumulated, uncertainty in the fitted trend has slowly diminished. Data for the last year have reduced the fitted trend slightly but, within the uncertainties, data for recent years have not changed conclusions about the longterm trend that remains nearly twice the rate of increase of stratospheric N2 O, the predominant source of NO2 . Using a combination of photochemical and 3-D chemical transport model, McLinden et al. (2001) showed that these apparent conflicting trends could be explained by concurrent trends in stratospheric ozone and increased halogens. Over the period 1980–2000, a 4.3%/decade increase in NO2 was predicted over Lauder. Of this, only 2.4%/decade was attributed to the increase of N2 O. The remainder included 2.5%/decade increase due to ozone change and -0.5%/decade due to the increased halogen impact on odd nitrogen partitioning. The continuation of the NO2 time series in the context of both stratospheric ozone increase and chlorine compounds decrease will further check our understanding of ozone chemistry in the stratosphere.

Polar Ozone Loss Evaluation In addition to long-term trend studies, the NDACC observations have been used to evaluate the ozone chemical depletion in the Arctic stratosphere during winter and spring. Using total ozone measurements from observations performed by Système


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d’Analyse par Observation Zénithale (SAOZ) UV–Vis spectrometers in the Arctic region, Goutail et al. (1999) evaluated the cumulative ozone chemical loss during successive Arctic winters. The method used involves calculating the difference between total ozone observed and simulated by a Chemical Transport Model (CTM) run in passive mode, that is, ignoring chemistry. The model’s runs are initialised at the beginning of the winter using the ozone distribution provided by the European Centre for Medium-Range Weather Forecasts (ECMWF). ‘Passive ozone’ columns are then extracted in coincidence with each SAOZ observation during the course of the winter. The difference between observed and modelled passive ozone columns provides an estimate of the photochemical loss. The retrieved ozone loss can then be compared to the full-chemistry simulations from the model in order to check the consistency between simulated and observed ozone loss. The agreement between model and observations varies in the course of the winter and from one winter to the next. For instance, in the case of the 2002/2003 winter, total ozone loss was retrieved using two different CTM for the provision of the passive total ozone columns (Goutail et al. 2005). Despite the fact that both models had a different approach to calculate the descent inside vortex, both evaluations provided similar results of about 19% ± 4% ozone loss at the end of the winter. The study showed that the loss started around mid-December, at least 10–20 days earlier than during any of the previous 11 winters, except 1993–1994. This unusual behaviour was consistent with the low temperatures reported in the stratosphere and to high levels of activated chlorine indicated by ground-based balloon and satellite observations. The chemical ozone loss simulated by the model was of lesser amplitude (around 14%) as compared to that retrieved from SAOZ. The underestimation was already observed by mid-January 2003. The Arctic chemical ozone loss deduced from SAOZ measurements over the period 1994–2007 is represented in Fig. 6 (Adapted from Figure 4–14 in Newman et al. 2007). It shows a

Fig. 6 Interannual variation of the ozone column losses in the Arctic since the early 1990s retrieved from SAOZ total ozone column measurements

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large interannual variability, ranging from 20 DU in 1999 to 160 DU in 1995, which correspond to a maximum of 35% total ozone loss.

New Developments in Observing Techniques In recent years, new developments in the instrumental techniques involved within the NDACC have extended the network’s measurement capability to a region outside the stratosphere, such as the high and free troposphere. These developments extend the initial scope of the network and address scientific issues relevant to, for example, air quality monitoring, climate change or long-term evolution of atmospheric composition in the low atmosphere.

FTIR Measurements Ground-based high-spectral resolution Fourier-transform infrared (FTIR) solar absorption spectroscopy is a powerful remote sensing technique to obtain information on the total column abundances of a variety of constituents in the atmosphere (e.g. Zander et al. 2005). By analysing the shape of the absorption lines in the spectra and their different temperature sensitivities, the vertical distribution of absorbers can also be retrieved. Such retrieval has been undertaken by several teams in the FTIR work group. For instance, within the framework of the European project UFTIR (Upper Free Troposphere observations from a European ground-based FTIR network), six FTIR stations have joined their efforts to evaluate the trends over the period 1995–2004 of several direct and indirect greenhouse gases (De Mazière et al. 2005; Schneider et al. 2005). All the stations are situated in western Europe, covering a large latitudinal range from 28◦ N to 79◦ N Common strategies for the retrieval of CO, CH4 , C2 H6 , N2 O CHClF2 (HCFC-22) and ozone have been established to optimise the vertical information content of the retrieved profiles. The inversion process is an ill-posed problem that is solved using the optimal estimation method (OEM) developed by Rodgers (2000). Different algorithms can be used for that purpose, e.g. PROFFIT9 (Hase 1999) or SFIT2 (Pougatchev et al. 1995). In both codes, the retrieved vertical profiles are obtained by fitting one or more narrow spectral intervals (micro-windows). The vertical information content of the retrieved profiles depends strongly on the choice of micro-windows and a priori information, which are part of the retrieval strategy. The vertical information content of the retrieved target gas profile can be quantified by the number of degrees of freedom for signal (DOFS), which is between 4 and 5 in the case of ozone (Barret et al. 2002). Using the measurements obtained in the six stations involved in the UFTIR project, Vigouroux et al. (2008) analysed trends of partial ozone in the following layers: ground–10 km, 10–18 km, 18–27 km and 27–42 km over the 1995–2004 period. An example of the FTIR ozone time series at the Jungfraujoch


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stations in the various altitude ranges is shown in Fig. 7. From this study no significant trends was generally found in the lowermost layer while positive trends were obtained in the lower and middle stratosphere. In the upper stratosphere both positive trends were retrieved depending on the station (Vigouroux et al. 2008).

MaxDOAS Until recently DOAS spectrometers, which measure ozone and trace gases involved in ozone depletion like NO2 , BrO and OClO, operated almost only in zenith-sky geometry, thus probing mainly the stratosphere. Over the last decade, new instruments pointing not only at zenith but also towards the horizon (off-axis geometry) have been developed (e.g. Hönninger et al. 2004; Theys et al. 2007). Pointing at an elevation angle close to the horizon provides enhanced sensitivity to the troposphere compared to zenith-sky observations (see Fig. 8). The Multi-AXis (MAX-) DOAS technique combines different elevation angles. Since the different viewing

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sza Stratosphere

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Fig. 8 Sketch of the zenith-sky and off-axis viewing geometries of a DOAS spectrometer. The enhancement of the absorption path length in the troposphere due to the different off-axis viewing directions can be seen

directions have a maximum of sensitivity at different altitudes, some information on the vertical distribution of the absorber can be retrieved from this kind of measurements. Formaldehyde (HCHO) is an important tropospheric gas species since it is a major intermediate in the oxidation of methane and many other hydrocarbons. MAX-DOAS measurements of HCHO have been performed during a campaign held in April–May 2007 at Uccle, Belgium (50.5◦N, 4.2◦ E). A profiling algorithm has been applied to the off-axis minus zenith differential slant column densities (DSCDs) at different elevation angles in order to retrieve the vertical distribution of HCHO in the troposphere. The aerosol extinction profile, which is an important parameter in the retrieval of tropospheric absorber using the MAX-DOAS technique, has been derived from simultaneous MAX-DOAS oxygen dimer (O4 ) measurements. The retrieved profiles and corresponding HCHO columns have been compared to coincident FTIR and ENVISAT/SCIAMACHY nadir measurements. An example of comparison results of HCHO columns is shown in Fig. 9. A very good agreement is found between MAX-DOAS, FTIR and SCIAMACHY HCHO columns. As it can be also seen, the short-term variations of the tropospheric HCHO column are consistently captured in both MAX-DOAS and FTIR data sets.

Lidar Water Vapour Measurements To contribute to the effort of understanding atmospheric water vapour-related processes, the NDACC has recently recommended including the measurement of water


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vapour profile in the upper troposphere and lower stratosphere (UT/LS) regions in its scientific priorities. A workshop was organised on that subject, in order to evaluate the various instrumental techniques providing measurements in UTLS. A report on the workshop can be downloaded from the NDACC microwave WG web site (Braathen 2006). Lidars can be used to measure water vapour using the Raman technique (e.g. Whiteman 1992) but until now, only a few Raman lidar systems have been dedicated to the measurement of upper tropospheric/lower stratospheric (UT/LS) water vapour (Leblanc & McDermid 2008). The measurement technique is relatively simple and affordable to implement, and provides high vertical resolution profiles up to the tropopause. This is a considerable advantage since no other technique at this time can routinely measure water vapour with high vertical resolution above 12 km altitude. Two recent intercomparison campaigns MOHAVE and MOHAVE-2 (T. Leblanc, personal communication, 2007) have demonstrated the capability of the Raman lidar technique to measure water vapour up to the UT/LS (see Fig. 10). With the continuous development of higher power lasers and improved optics, this technique is very promising for the long-term monitoring of

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Fig. 10 Unsmoothed averaged water vapour profiles obtained from the JPL, GSFC-AT, and GSFC-ALVICE Raman lidars simultaneously measured with ten Cryogenic Frost-point Hygrometer and Vaisala RS92 balloon flights performed during MOHAVE-2 (October 2007)

water vapour in the UT/LS. The NDACC currently includes seven contributing or candidate water vapour Raman lidars.

Conclusions The scientific results shown in this chapter are by far not exhaustive. NDACC measurements have for instance strongly contributed to the study of volcanic aerosol originated from the Mt. Pinatubo eruption in 1991. Aerosol lidar measurements have documented both the global dispersion of the volcanic cloud and its decay in the stratosphere (e.g. Neuber et al. 1994; Jäger et al. 2005). Because of drifts and inhomogeneities in the successive satellite time series, lidar are also key instrument for the quantification of the cooling in the stratosphere due to the global increase


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of carbon dioxide, and to ozone depletion (Randel et al. 2004). Besides, NDACC data have been compared to chemical transport simulations in various studies dedicated to, for example, the understanding of long-term trends, polar ozone depletion or the budget of halogen compounds in the stratosphere (e.g. Ricaud et al. 1998; Chipperfield et al. 1999; McLinden et al. 2001; Hendrick et al. 2007). Ever since its inception, the NDACC has made a point to follow the scientific issues that have emerged, relevant to stratospheric ozone depletion and its link to climate change. For instance, surface UV spectral irradiance measurements were added to the network in 1995 and more recently, measurements of water vapour in the UT/LS were considered a network priority. In addition, a better coordination with total column and profile ozone measurements as part of the WMO GAW programme is presently underway. The network has thus a flexible structure that enables it to adapt to new challenges in atmospheric science. Thanks to its ongoing expertise, it has the potential to be a major contributor for the atmosphere to the Global Earth Observation System of Systems (GEOSS) to be implemented in the next years under the impulsion of the Group on Earth Observation, provided that long-term ground-based observations are continuously supported by the various national and international funding agencies. Acknowledgements The author acknowledges all the NDACC PIs and the technical staff of the stations for their contribution to the success of the network. She thanks in particular M. de Mazière, F. Goutail, F. Hendricks, T. Leblanc, B. Liley, E. Mahieu, W. Steinbrecht, M. van Roozendael, and C. Vigouroux for contributing to this chapter.

References Barret, B., De Mazière, M., & Demoulin, P. (2002). Retrieval and characterization of ozone profiles from solar infrared spectra at the Jungfraujoch. Journal of Geophysical Research, 10, D24, 4788, doi: 10.1029/2001JD001298. Braathen, G. (2007). GCOS-GAW agreement establishing the WMO/GAW global atmospheric ozone monitoring networks as global baseline networks of GCOS, http://www.wmo.ch/pages/ prog/gcos/scXV/Ozone agreement.rev.pdf. Braathen, G. (2006). Report from the NDACC meeting on atmospheric water vapour measurements, Bern, Switzerland, http://www.iapmw.unibe.ch/research/collaboration/ndscmicrowave/workshop/2006/Bern Report H2O workshop2006.pdf Calisesi, Y., Wernli, H., & Kämpfer, N. (2001). Midstratospheric ozone variability over Bern related to planetary wave activity during the winters 1994–1995 to 1998–1999. Journal of Geophysical Research, 106(D8), 7903–7916. Chipperfield, M. P. (1999). Multiannual simulations with a three-dimensional chemical transport model. Journal of Geophysical Research, 104, 1781–1805. De Mazière, M., Vigouroux, C., Gardiner, T., Coleman, M., Woods, P., Ellingsen, K., et al. (2005). The exploitation of ground-based Fourier transform infrared observations for the evaluation of tropospheric trends of greenhouse gases over Europe. Environmental Sciences, 2, 283–293. Godin, S., Carswell, A., Donovan, D., Claude, H., Steinbrecht, W., Mcdermid, S., et al. (1999). Ozone differential absorption Lidar algorithm intercomparison. Applied Optics, 38(30), 6225– 6236.

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Goutail, F., Pommereau, J.-P., Phillips, C., Deniel, C., Sarkissian, A., Lef e` vre, F., Kyro, E., et al. (1999). Depletion of column ozone in the Arctic during the Winters 1993–94 and 1994–95. Journal of Atmospheric Chemistry, 32, 1–34. Goutail, F., Pommereau, J.-P., Lef e` vre, F., Van Roozendael, M., Andersen, S. B., Kastad Høiskar, B.-A., et al. (2005). Early unusual ozone loss during the Arctic winter 2002/2003 compared to other winters. Atmospheric Chemistry and Physics, 5, 665–677. Guirlet, M., Keckhut, P., Godin, S., & Mégie, G. (2000). Description of the long-term ozone data series obtained from different instrumental techniques at a single location: The Observatoire de Haute-Provence (43.9◦ N, 5.7◦ E). Annals of Geophysics, 18, 1325–1339. Hase, F., Blumenstock, T., & Paton-Walsh, C. (1999). Analysis of the instrumental line shape of high-resolution Fourier transform IR spectrometers with gas cell measurements and new retrieval software. Applied Optics, 38, 3417–3422. Hendrick, F. et al. (2007). Retrieval of stratospheric and tropospheric BrO profiles and columns using ground-based zenith-sky DOAS observation at Harestua, 60 ˚ N. Atmospheric Chemistry and Physics, 7, 4869–4885. Hofmann, D. et al. (1995). Intercomparison of UV/visible spectrometers for measurements of stratospheric NO2 for the Network for the detection of stratospheric changes. Journal of Geophysical Research, 100, 16765–16792. Hönninger, G., von Friedeburg, C., & Platt, U. (2004). Multi axis differential optical absorption spectroscopy (MAX-DOAS). Atmospheric Chemistry and Physics, 4, 231–254. Jäger, H. (2005). Long-term record of lidar observations of the stratospheric aerosol layer at Garmisch-Partenkirchen. Journal Geophysical Research, 110, D08106, doi: 10.1029/ 2004JD005506. Jiang, Y. B. et al. (2007). Validation of aura microwave limb sounder ozone by ozonesonde and lidar measurements. Journal of Geophysical Research, 112, D24S34, doi: 10.1029/ 2007JD008776, 2007. Keckhut, P., McDermid, S., Swart, D., McGee, T., Godin-Beekmann, S., Adriani, A., et al. (2004). Review of ozone and temperature lidar validations performed within the framework of the network for the detection of stratospheric changes. Journal of Environmental Monitoring, 6, 721–733. Lambert, J.-C., Soebijanta, V., Orsolini, Y., Andersen, S. B., Bui Van, A., et al. (2003). Coordinated ground-based validation of ENVISAT atmospheric chemistry with NDSC network data: Commissioning Phase Report, in Proc. First ENVISAT Validation Workshop, ESA/ESRIN, Italy, 9–13 Dec. 2002, ESA SP-531. Leblanc, T., Stuart McDermid, I., & Aspey, R. A. (2008). First year operation of a new water vapor Raman lidar at the JPL-Table mountain facility, California. Journal of Atmospheric and Oceanic Technology, Volume preprint, Issue 2007 (February 2008), doi: 10.1175/ 2007JTECHA978.1. Liley, J., Johnston, P., McKenzie, R., Thomas, A., & Boyd, I. (2000). Stratospheric NO2 variations from a long time series at Lauder, New Zealand. Journal of Geophysical Research, 105(D9), 11633–11640. Mahieu, E., Duchatelet, P., Zander, R., Demoulin, P., Servais, C., Rinsland, C. P., et al. (2004). The evolution of inorganic chlorine above the Jungfraujoch station: An update, in Ozone, Vol. II, Proceedings of the Quadrennial Ozone Symposium, Kos, Greece, 1–8 June 2004, pp. 997–998. McGee, T. J., Whiteman, D., Ferrare, R., Butler, J. J., & Burris, J. (1991). STROZ LITE: Stratospheric ozone lidar trailer experiment. Optical Engineering, 30(31), 31–39. McLinden, C., Olsen, S., Prather, M., & Liley, J. (2001). Understanding trends in stratospheric NOy and NO2 . Journal of Geophysical Research, 106(D21), 27787–27793. Meijer, Y. J., et al., Long-term validation of GOMOS, MIPAS and SCIAMACHY (2006) Ozone and temperature profiles by the ENVISAT quality assessment with lidar (EQUAL) project, Proceedings of the First Conference on Atmospheric Science (ATMOS) (Frascati, Italy, 8–12 May 2006), ESA SP-628.


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Whiteman, D. N., Melfi, S. H., & Ferrare, R. A. (1992). Raman lidar system for the measurement of water vapor and aerosols in the Earth’s atmosphere. Applied Optics 31, 3068. Zander, R., Mahieu, E., Demoulin, P., Duchatelet, P., Servais, C., Roland, G., et al. (2005). Evolution of a dozen non-CO2 greenhouse gases above Central Europe since the mid-1980s. Environmental Sciences, 2(2–3), 295–303.

International Balloon Measurements for Ozone Research David J. Hofmann

Abstract Balloon-borne instruments, in particular ozonesondes, have played a unique role in stratospheric ozone research, especially in ozone depletion. Balloons are able to probe the region of ozone depletion in the stratosphere and thus make measurements with in situ instruments, observing both ozone and ozone-depleting chemicals. Measurements using balloons have been important for verifying stratospheric ozone chemistry and in understanding the nature of other atmospheric constituents necessary for the occurrence of ozone depletion, for example, stratospheric aerosol particles in the form of nitric and sulfuric acid and water-ice. The list of accomplishments in ozone research by balloons is long. For example, observation of the buildup and decline of chlorofluorocarbons (CFCs) in the stratosphere, observations that near total ozone destruction occurred in Antarctica in a limited region around 12–20 km, multinational ozonesonde networks verifying the vertical extent of ozone depletion in Antarctica and ozone depletion chemistry in the Arctic, and large balloon campaigns verifying ozone chemistry in situ. This work summarizes the most important of these many contributions. Keywords Antarctic · balloons · ozone · ozonesondes · stratosphere

Introduction Stratospheric ozone research using balloons as vehicles had its origin as early as 1934 when spectrographs, used to measure the intensities of lines in the Hartley band of the solar spectrum, were sent up on sounding balloons by E. and V. H. Regener in Germany (1934). Chemilumenescent “ozonesondes” were developed in the 1950s and saw substantial application (Regener 1960); however, the

D.J. Hofmann Earth System Research Laboratory Boulder, Colorado, USA e-mail: [email protected]


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possibility of accurate routine sounding of ozone profiles in the atmosphere was not realized until the “Brewer-Mast” electrochemical sonde (Brewer & Milford 1960), the development of electrochemical concentration cell (ECC) technique later (Komhyr 1969), and the following commercial availability of an ozonesonde based on the principle. Its extensive application, following the discovery of chlorine chemistry-related stratospheric ozone depletion in the 1980s, has led to much of our knowledge of the ozone layer and Antarctic ozone depletion in particular. Even in the early 1970s, when construction of a US Supersonic Transport was being considered, both small and large balloons were used to study the possible effects of aircraft water vapor and nitrogen oxides effluents on the ozone layer. These early efforts were reviewed by Hofmann (1976) and will not be discussed in detail here. It is to those who pioneered the measurements of stratospheric ozone and related gases, by both balloons and surface-based instruments such as the Dobson spectrophotometer when it was not a popular thing to do, to whom we owe a debt of gratitude for compiling a database without which the depletion of the stratospheric ozone layer could not have been discerned as early as was possible. The need to understand the atmospheric chemistry responsible for ozone depletion called for the introduction of multiple instruments on balloon-borne gondolas in the 1980s and 1990s. These multiple instruments required large volume balloons which could not be launched as frequently as ozonesondes but which could reveal chemical processes necessary for understanding and therefore predicting the future of the ozone layer through models. Large balloons and multiple instrument platforms were also used to validate satellite instruments. Surface-based long-term measurements of ozone-depleting gases allowed for the formulation of parameters, such as Effective Equivalent Chlorine (EECl), for studying the net effect of all the halogen gases on the stratospheric ozone (Montzka et al. 1996). For example, EECl peaked in the lower atmosphere in about 1994 with an expected peak in the stratosphere about 3–6 years later, depending on latitude. Of course, balloon-borne ozonesondes were also used to study atmospheric ozone trends as a function of altitude from numerous global locations. Significant works were those of Logan et al. (1999) for the stratosphere and Oltmans et al. (2006) for the troposphere. This brief summary of balloon-borne measurements related to ozone research will not be exhaustive but will touch on what the author feels represented critical advances in stratospheric ozone research. His familiarity with ozonesonde work has undoubtedly biased this account. Unfortunately, much good work will be left out here for which he apologizes.

CFCs in the Stratosphere Molina & Rowland (1974), from studies of the stability of chlorofluorocarbons (CFCs) following release to the atmosphere, hypothesized that the ultimate destruction of these inert refrigerants and propellants, used extensively by society, was in

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the stratosphere where they were exposed to high-energy solar ultraviolet radiation, radiation which was largely blocked from penetration to the surface by the ozone layer. Their laboratory measurements showed that the resulting chlorine atoms could chemically destroy ozone. Although the details of these processes were not well known, it spurred the atmospheric research community to look for evidence of these processes in the stratosphere. A group of researchers in the National Oceanic and Atmospheric Administration (NOAA) Aeronomy Laboratory in Boulder, Colorado, led by Dr. Art Schmeltekopf designed a simple grab sampler that could be flown into the stratosphere on small balloons. An evacuated sphere was filled at a predetermined altitude, parachuted to Earth and the air was sampled with gas chromatographs for the chlorofluorocarbons CFC-11 and-12. The initial soundings were conducted in collaboration with the University of Wyoming atmospheric balloon research group (of which the author was then a member), in Laramie, Wyoming in 1975. After three successful soundings to three different altitudes, they were able to show that the CFCs, which should have maintained a constant mixing ratio with altitude if they were not being dissociated, did indeed decrease with altitude into the upper stratosphere, a simple result that changed stratospheric ozone research forever. Figure 1, from Schmeltekopf et al. (1976) shows these results. Extensive research on the vertical profile of the CFCs followed on large balloons carrying cryogenic samplers, for example, the group of Peter Fabian in Germany (see Fig. 2 from Fabian et al. 1996 for profiles obtained in this program).

Fig. 1 CFCl3 (CFC-11) and CF2 Cl2 (CFC-12) altitude distributions. Surface values and the results from balloon-borne grab samples at several altitudes are shown. The solid curves are from a onedimensional photochemical model (Adapted from Schmeltekopf et al. 1976)

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Fig. 2 CFC-12 mixing ratio altitude profiles for three time periods 1977–1979, 1980–1983, and 1988–1991 (Adapted from Fabian et al. 1996)

The Ozone Surprise By the early 1980s considerable modeling results indicated that the main ozone depletion would occur in the upper altitudes (>25 km) and would be relatively mild (∼5%). It was thus somewhat of an awakening when in 1985 Farman et al. (1985) reported that they had observed large reductions in the total column of ozone at Halley Bay, Antarctica, during the austral spring with October values down some 30% or more. Susan Solomon, also working at the NOAA Aeronomy Laboratory in Boulder, Colorado, in analyzing balloon-borne ozone data obtained in the early 1980s at Syowa, Antarctica, noticed that the October profiles were depressed well below 25 km and that a process other than the gaseous reaction proposed by Molina and Rowland must be at play. Evidence from Rowland’s laboratory at the University of California at Irvine indicated that heterogenous reactions on surfaces appeared to affect the processing of chlorofluorocarbon products which could be important in ozone chemistry. Solomon et al. (1986) proposed that polar stratospheric clouds, which could appear extensively only in the Antarctic stratosphere (owing to the cold temperatures), were providing the surfaces for heterogeneous reactions which produced chemical precursors and, following austral sunrise, would destroy ozone photochemically. The need to study the Antarctic stratosphere during the austral spring period became critical.


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The US National Ozone Expedition (NOZE) In March 1986 a group of scientists from the NOAA labs and the University of Wyoming met in Boulder to discuss the evidence for ozone depletion. The Wyoming group had already arranged, through the Office of Polar Programs of the US National Science Foundation, to conduct extensive ozone balloon soundings during the 1986 austral spring period. It was decided to extend this to an expedition involving researchers from both NOAA and NASA labs as well as universities. This required going to McMurdo Station, Antarctica during the winter flights which occurred in late August. These US Navy flights from Christchurch, New Zealand had, in the past, been generally for operational rather than scientific purposes. After an aircraft turnaround due to weather on August 20, the team arrived at McMurdo Station on Ross Island successfully on August 22, 1986. Ozone measurements were conducted from August 24 until mid-November with nearly daily balloon-borne ozonesondes. Specially designed polyethylene balloons (to withstand the −90◦C stratospheric temperatures) were used with the first digital ECC ozonesondes, designed for this campaign, and clearly mapped out the altitude region of ozone depletion. This region, with nearly total ozone depletion, was approximately 12–20 km at this time (it later would extend to 24 km as the “ozone hole” as it came to be called, increased in severity in the 1990s and early 2000s). Remote optical measurements (UV-Visible [UV–Vis] light spectrometers which could detect molecules such as NO2 and OClO) from the surface confirmed unusual chlorine chemistry in the springtime Antarctic stratosphere. Balloon-borne measurements of stratospheric aerosol particles also confirmed that the effects of the El Chichón eruption in 1982 had all but decayed away and could not be related to the ozone loss, and that there was no evidence in the particle measurements for vertical motions in the polar vortex which might be removing ozone. In a satellite transmission to Washington DC, Susan Solomon, speaking for the group, indicated that the expedition results clearly indicated a chemical cause for the ozone hole. The NOZE McMurdo Station campaign was repeated in 1987 with the addition of stratospheric aircraft flights from Punta Arenas, Chile, which further confirmed the chlorine hypothesis by in situ measurements of ozone and the chlorine monoxide (ClO) molecule in the ozone depletion region simultaneously before and after the phenomenon began. This campaign coincided with the release of the Montreal Protocol on Substances that Deplete the Ozone Layer in 1987 and was instrumental in strengthening the Protocol through later amendments.

Continuing Research of Ozone Depletion The US National Oceanic and Atmospheric Administration (NOAA) has conducted balloon-borne ozone measurements from the South Pole Station each year since 1986. Weekly soundings during most of the year are increased to three soundings per week during the springtime ozone hole period from late August to early November.

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Fig. 3 South Pole ozone balloon launch photo (provided by David Hofmann, NOAA Earth System Research Laboratory)

Launching of a balloon at the South Pole is shown in the illustration in Fig. 3. The ozone profiles for the soundings, which indicated the highest level of ozone depletion for each year, are shown in Fig. 4. Antarctic balloon ozone soundings were also used to detect the effects of volcanic eruptions on stratospheric ozone. Solomon et al. (2005) used ozonesonde data from Syowa and the South Pole to show that following the eruption of Pinatubo (1992– 1995) ozone depletion in the springtime lower stratosphere was enhanced compared to other times (see Fig. 5). As indicated in Fig. 6, enhanced ozone reductions at 150 hPa, where it is generally not cold enough for extensive PSC formation, are related to sulfuric acid aerosol in the lower stratosphere, e.g., from the Pinatubo eruption in 1991. The surfaces provided by the volcanic aerosol are adequate to enhance the heterogeneous chemical ozone loss process. Data from Syowa following the eruption of El Chichón in 1982 suggest that there may have been a small effect at

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Fig. 4 South Pole ozonesonde profiles for maximum ozone depletion from 1986 to 2007 (provided by Bryan Johnson, NOAA Earth System Research Laboratory)

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Fig. 5 Post-Pinatubo ozone profiles (1992–1995) clearly show more depletion in the lower stratosphere than at any other time. In fact the lowest total ozone ever observed by ozonesondes at South Pole (89 DU) occurred in October 1993 when the 200 hPa ozone maximum was almost totally removed (Reproduced from Solomon et al. 2005. With permission of the American Geophysical Union)

Fig. 6 Enhanced ozone reductions at 150 hPa, where it is generally not cold enough for extensive polar stratospheric cloud formation, are related to sulfuric acid aerosol in the lower stratosphere, for example, from the Pinatubo eruption in 1991. Data from Syowa following the eruption of El Chichón in 1982 suggest that there may have been a small effect at the lower chlorine levels that would have existed, contributing to the nonlinear onset of the ozone hole. There is no evidence for ozone depletion following the eruption of Agung in 1963 when chlorine levels were low (Reproduced from Solomon et al. 2005. With permission of the American Geophysical Union)

the lower chlorine levels that would have existed, contributing to the nonlinear onset of ozone depletion. There is no evidence for ozone depletion following the eruption of Agung in 1963 when chlorine levels were low.


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Ozone Hole Recovery An important question for the future is if and when the Antarctic ozone hole will disappear with the reductions in ozone-depleting chemicals. This will occur in a series of events, for example, the cessation of worsening of the ozone hole (which has already occurred), the first evidence of the beginning of recovery (e.g., a statistically significant increase in ozone), and full recovery which is not expected until the latter half of the twenty-first century. Balloons in Antarctica will play a major role in detecting these stages of recovery because they can accurately resolve ozone changes at various altitudes. At present there appears to be no evidence for the second stage of recovery of the ozone hole, i.e., a lessening of the severity of ozone depletion. Figure 7 shows total ozone data from the South Pole ozonesondes for the 2007 ozone hole compared with the past 22 years. We see that for most of the soundings, springtime ozone loss was within the standard deviation of losses observed since 1986. The 2007 ozone hole was more prolonged than the past average, lasting well into December.

Fig. 7 Total column ozone versus time as measured by ozonesondes at South Pole Station during 2007 (yellow dots) as compared to data compiled each year from 1986 to 2006. The light blue envelope defines the minimum and maximum total ozone values observed while the dark blue area defines the average total ozone plus and minus one standard deviation over this period (provided by Bryan Johnson, NOAA Earth System Research Laboratory)

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The international effort of launching ozonesondes in Antarctica, especially during the springtime ozone depletion period, is instrumental in the World Meteorological Organizations’ (WMO) Global Atmosphere Watch (GAW) program. These data are used to compile the Antarctic Ozone Bulletin that appears during the springtime Antarctic period: http://www.wmo.int/pages/prog/arep/gaw/ozone/index.html

Ozone Depletion in the Arctic While early measurements hinted at ozone depletion in the springtime Arctic stratosphere (Hofmann et al. 1989, 1991), it was not until Arctic ozone depletion was studied using the MATCH balloon technique (Streibel et al. 2006) that the phenomenon could be quantified. As indicated in Fig. 8, the Arctic MATCH campaign of 2002–2003 involved ozonesonde balloon launches from 34 stations involving scientists from 25 institutions in 16 countries. This was truly an international campaign as it is required to study the Arctic stratosphere properly. Using meteorological trajectory forecasts it was possible to make balloon ozone measurements in the same polar air mass at different times and separate chemical and dynamical effects on ozone to determine polar ozone loss rates due to chemistry alone. Some of these results are shown in Fig. 9.

The Use of Large Balloons in Ozone Research As indicated earlier, by the mid-1970s, key measurements in the CFC ozone depletion hypothesis had been made from balloons, including CFCs, demonstrating their transport into the stratosphere, and the decomposition products HCl and, most importantly, ClO (NASA 1977). Measurements using large balloons in the US (NASA) and European investigators continued though the 1970s and 1980s. It was soon realized that in order to fully understand the ozone depletion chemistry, numerous reaction products and tracers had to be measured simultaneously in the same air mass. This required large balloons which were capable of very large payloads. Figure 10 shows photos of some of these large balloon systems from NASA campaigns. The following is a listing of significant US (NASA) campaigns using large balloons for multiple chemical species during the period 1982 to present. US Large Balloon Campaigns 1. Balloon Intercomparison Campaign, Palestine TX, 1982–1983, mostly remote sensing instruments, for a variety of species (see WMO 1985 for details). 2. Balloon Ozone Intercomparison Campaign, Palestine TX, 1983–1984, mostly in situ, for ozone (see WMO 1985 for details). 3. During the Upper Atmosphere Research Satellite (UARS) Correlative Measurements Program (CMP), 16 large balloons were launched between October


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Fig. 8 Map of the 34 stations that participated in the Arctic MATCH campaign in 2002–2003 (Adapted from Streibel et al. 2006)

0

−20

−40

−60 −30

0

30 Day of Year

60

90

Fig. 9 Chemical ozone loss in the Arctic winter 2002–2003 determined in the Arctic MATCH program (Adapted from Streibel et al. 2006)

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Fig. 10 Large balloons and large payloads – the requirement for understanding ozone depletion chemistry (provided by J. Margitan, NASA)


4.

5.

6.

7.

8.

9.

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1991 and October 1994, all but one from mid-latitude NH launch sites, during different seasons. The UARS CMP Balloon Schedule (see Table 1) lists the dates, launch sites, latitude of launch site, principal investigators, and chemical species measured on the balloon flights. Data were obtained by the different balloon instruments (mostly remote sensors) for all species measured by UARS. Small sondes and probes were also launched for measuring ozone, water vapor, aerosols, and nitric acid. In addition, there were a number of flights by the French UARS CMIs, launched primarily in France by Centre National d’Etudes Spatiales (CNES). Observations of the Middle Stratosphere (OMS) in 1996–1998 was a balloon component (8 flights) of the aircraft campaigns’ Stratospheric Tracers of Atmospheric Transport (1996–1997) and Photochemistry of Ozone Loss in the Arctic Region in Summer (1997). For OMS, an in situ gondola was assembled with the instruments ALIAS-II/Webster/JPL, ARGUS/Loewenstein/ARC, CO2/Wofsy/ Harvard, LACE/Elkins/NOAA CMDL, Ozone/Margitan/JPL and Water/Oltmans/ NOAA CMDL. In addition the MKIV/Toon/JPL also flew in the campaigns. OMS in situ flew from Brazil, New Mexico, and Alaska and the collection of instruments also flew in later campaigns. ADEOS Validation Campaign, Alaska, 1997, for validation of the Japanese ADEOS satellite, jointly supported by NASA and NASDA, with FIRS2/Traub/ SAO, SLS/Stachnik/JPL, Ozone/Margitan/JPL, and MkIV/Toon/JPL. SAGE III Ozone Loss and Validation Experiment, 1999–2000, Sweden, which was an aircraft and balloon campaign, included the OMS in situ gondola, MkIV/ Toon/JPL and SLS/Stachnik/JPL. The European THESEO campaign was at the same time making this an international SOLVE-THESEO campaign. SAGE III Ozone Loss and Validation Experiment-II, 2002–2003, Sweden, which was an aircraft and balloon campaign, included the MkIV/Toon/JPL and ozone/ Margitan/JPL. Balloon Observations of the Stratosphere, 2002–2003, New Mexico, was a series of balloon flights to bridge the gap between the aging UARS and the to-be-launched EOS Aura, with BOH/Pickett/JPL, FIRS2/Traub/SAO, MkIV/ Toon/JPL, and OMS in situ (ALIAS-II/Webster/JPL, ARGUS/Jost/ARC, CO2/ Wofsy/Harvard, LACE/Elkins/NOAA CMDL, Ozone/Margitan/JPL and Water/ Oltmans/NOAACMDL). Aura Validation Campaign, 2004–present, New Mexico and Sweden, for validation of EOS Aura, with BOH/Pickett/JPL, CWAS/Atlas/Miami, FIRS2/Jucks/ SAO, MkIV/Toon/JPL, Ozone/Margitan/JPL, SLS/Stachnik/JPL and OMS in situ (in 2004).

Summary Balloon-borne instrumentation has been vital in discovering the region of ozone depletion in the stratosphere and in keeping track of ozone-depleting chemicals. Measurements using balloons have been critical in verifying ozone chemistry and

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Table 1 UARS Correlative Measurements Program*, US Large Balloon Flights (Provided by J. Margitan, NASA) Date

Site

Lat Principal investigators

Species (Profiles) measured

Oct-91 Ft. Sumner, NM Feb-92 Daggett, CA May-92 Ft. Sumner, NM

34 Stachnik/Pickett /Margitan 35 Stachnik/Pickett /Margitan 34 Nolt/Carli Zander Traub/Pickett/ Margitan

Jul-92

32 Murcray(s)

O3 , ClO, HCl, OH O3 , ClO, HCl, OH O3 , H2 O, HCl, HF HCl, CH4 O3 , HCl, HF, H2 O, N2 O, HNO3 , OH HNO3 , F12, F11, O3 , ClNO3 , CH4 , NO2 , NO, H2 O, HCl NO2 , CH4 , N2 O, HCl, HNO3 O3 , NO, NO2 , N2 O, HNO3 , H2 O, CH4 , CO, F12, F11, HCl, ClNO3 , HF O3 , ClO, HCl, OH, H2 O, N2 O, HNO3 HNO3 , F11, F12, O3 , N2 O5 , H2 O O3 , HCl, HF, H2 O, N2 O, HNO3 O3 , ClO, NO, NO2 , N2 O, HNO3 , H2O, CH4 , CO, F12, F11, HCl, ClNO3 , HF HNO3 , F12, F11, O3 , ClNO3 , CH4 , NO2 , NO, H2 O, HCl O3 , H2 O, HCl, HF, OH

Palestine, TX

Aug-92 Palestine, TX Sep-92 Ft. Sumner, NM

Oct-92 Ft. Sumner, NM Mar-93 Daggett, CA Apr-93 Ft. Sumner

32 Webster 34 Toon

Traub/Stachnik/ Pickett/Margitan 34 Murcray(s) 35 Traub 34 Toon/Stachnik/ Margitan Murcray(s)

May-93 Ft. Sumner, NM Jun-93 Jul-93

Ft. Sumner Palestine, TX

34 Nolt/Carli/Pickett/ Margitan 34 Zander 32 Murcray(s)

Sep-93 Ft. Sumner, NM

34 Toon/Stachnik/ Pickett/Margitan

Feb-94 Kiruna, Sweden

67 Stachnik Stachnik/Margitan 34 Nolt/Carli/Pickett Toon/Traub/Margitan

May-94 Ft. Sumner, NM

Oct-94 Ft. Sumner, NM

34 Murcray(e)/Margitan

HCl, HF, CH4 HNO3 , F12, O3 , N2 O5 , ClNO3 , CH4 , N2 O, H2 O O3 , ClO, OH, NO, NO2 , N2 O, HNO3 , HF, H2 O, CH4 , CO, F12, F11, HCl, ClNO3 O3 , ClO, HCl, N2 O, HNO3 O3 , ClO, HCl, N2 O, HNO3 O3 , H2 O, HCl, HF, OH O3 , OH, NO, NO2 , N2 O, HNO3 , H2 O, CH4 , CO, F12, F11, HCl, ClNO3 , HF HNO3 , F11, F12, O3 , N2 O5 , H2 O

in understanding the nature of other atmospheric constituents necessary for the occurrence of ozone depletion, for example, stratospheric particles in the form of nitric and sulfuric acid and water-ice. The following is a list of unique contributions of balloons to ozone research over the past 30+ years: 1. First measurements of CFCs in the stratosphere and their decline above ∼20 km owing to UV breakdown ∼1976. 2. Observation that near total ozone destruction occurred in Antarctica in a limited region around 12–20 km ∼1986.


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3. Observation of the buildup and decline of CFCs in the stratosphere. 4. Multinational ozonesonde network key in verifying vertical versus horizontal extent of ozone depletion in Antarctica. 5. Multinational ozonesonde network MATCH campaign critical in verifying ozone depletion chemistry in the Arctic. 6. Observation that major volcanic eruption aerosol clouds had an effect on ozone similar to polar stratospheric clouds – Pinatubo ∼1993. 7. Large balloons – multiple experiments verify in situ ozone chemistry. Acknowledgments The author is indebted to the many researchers who produced the data in this review and in particular those who provided information and permission to use some of the figures in this work. The WMO and UNEP are acknowledged for their foresight 20 years ago to begin chronicling the history of stratospheric ozone depletion research in their quadrennial reports.

References Brewer, A. W., and Milford, J. R. (1960). The Oxford-Kew ozone sonde, Proceedings of the Royal Society of London, Series A, 256, 470–495. Fabian, P., Borchers, R., Leifer, R., Subbaraya, B. H., Lal, S., and Boy, M. (1996). Global stratospheric distribution of halocarbons, Atmospheric Environment, 30, 1787–1796. Farman, J. C., Gardiner, B. G., and Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal CLOx /NOx interaction, Nature, 315, 207–210. Hofmann, D. J. (1976). Stratospheric Chemistry, chapter in The Use of Balloons for Physics and Astronomy, National Academy of Sciences, National Research Council Publication, Washington, D.C., pp. 128–150. Hofmann, D. J., Deshler, T. L., Aimedieu, P., Matthews, W. A., Johnston, P. V., Kondo, Y., et al. (1989). Stratospheric clouds and ozone depletion in the Arctic during January 1989, Nature, 337, 117. Hofmann, D. J., and Deshler, T. (1991). Evidence from balloon measurements for chemical depletion of stratospheric ozone in the Arctic winter of 1989–90, Nature, 349, 300–305. Komhyr, W. D. (1969). Electrochemical concentration cells for gas analysis, Annals de Geophysique, 25, 203–210. Logan, J. A., Megretskaia, I. A., Miller, A. J., Tiao, G. C., Choi, D., Zhang, L., et al. (1999). Trends in the vertical distribution of ozone: A comparison of two analyses of ozonesonde data, Journal of Geophysical Research 104(26), 373–326, 399. Molina, M. J., and Rowland, F. S. (1974). Stratospheric Sink for Chlorofluoromethanes: Chlorine Atom-Catalyzed Destruction of Ozone, Nature, 249, 810–812. Montzka, S. A., Butler, J. H., Myers, R. C., Thompson, T. M., Swanson, T. H., Clarke, A. D., et al. (1996). Decline in the tropospheric abundance of halogen from halocarbons: Implications for stratospheric ozone depletion, Science, 272, 1318–1322. NASA, Reference Publication 1010, Chlorofluoromethanes and the Stratosphere, R. D. Hudson, Ed., NASA, 1977. Oltmans, S. J., Lefohn, A. S., Harris, J. M., Galbally, I., Scheel, H. E., Bodeker, G., et al. (2006). Long-term changes in tropospheric ozone, Atmospheric Environment, 40, doi: 10.1016/j.atmosenv.2006.01.029, 3156–3173. Regener, E., and Regener, V. H. (1934). Aufnamen des ultravioletten Sonnenspektrums in der Stratosphäre und vertikale Ozonverteilung, Physikalische Zeitschrift, 35, 788–793. Regener, V. H. (1960). On a sensitive method for the recording of atmospheric ozone, Journal of Geophysical Research, 65, 3975–3977.

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Schmeltekopf, A. L., Goldan, P. D., Henderson, W. R., Harrop, W. J., Thompson, T. L., Fehsenfeld, F. C., et al. (1975). Measurements of stratospheric CFCl3 , CF2 Cl2 , and N2 O, Geophysical Research Letters, 2, 393–396. Solomon, S., Garcia, R. R., Rowland, F. S., and Wuebbles, D. (1986). On the depletion of Antarctic ozone, Nature, 321, 755–758. Solomon, S., Portmann, R. W., Sasaki, T., Hofmann, D. J., and Thompson, D. W. J. (2005). Four decades of ozonesonde measurements over Antarctica, Journal of Geophysical Research, 110, D21311, doi: 10.1029/2005JD005917. Streibel, M., Rex, M., von der Gathen, P., Lehmann, R., Harris, N. R. P., Braathen, G. O., et al. (2006). Chemical ozone loss in the Arctic winter 2002/2003 determined with Match, Atmospheric Chemistry and Physics, 6, 2783–2792. WMO. (1985). Atmospheric Ozone 1985. Assessment of our understanding of the processes controlling its present distribution and change, World Meteorological Organization Report No. 16, Appendix C, Geneva, 1985.

The Role of Airborne Science in the Study of Polar Ozone Michael J. Kurylo

Abstract This chapter will provide a brief historical perspective of the Antarctic ozone hole and the role that 1986–1987 ground-based and aircraft studies played in linking its formation to reactions involving chlorine and bromine radicals resulting from the degradation of halocarbon source gases (emitted in large part from human activities). The results from later aircraft campaigns focused on understanding ozone production and loss within the Arctic stratosphere will also be highlighted. These results affirm the continuing need in ozone research for the integration of synoptic scale satellite measurements with ground-based, balloon-borne, and aircraft measurements having a unique temporal and spatial resolution. Keywords Airborne science · integrated observations · ozone depletion · ozone hole · Polar Ozone

Introduction Airborne science has played a critical role in the broad suite of measurements that have been used to study polar ozone chemistry for more than 2 decades. It is fitting to highlight this role as we celebrate the 20th anniversary of the Montreal Protocol, an incredibly successful interface between science and international environmental policy. This chapter will provide a brief historical perspective of the Antarctic ozone hole and the role that 1986–1987 ground-based and aircraft studies played in linking its formation to reactions involving chlorine and bromine radicals resulting from the degradation of halocarbon source gases (emitted in large part from human activities). The results from later aircraft campaigns focused on understanding ozone

M.J. Kurylo Science Mission Directorate NASA Headquarters Washington, DC, USA e-mail: [email protected]


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production and loss within the Arctic stratosphere will also be highlighted. The results from both polar regions have figured prominently in the international scientific assessments of ozone depletion conducted under the provisions of the Montreal Protocol. They further affirm the continuing need in ozone research for the integration of synoptic scale satellite measurements with ground-based, balloon-borne, and aircraft measurements having a unique temporal and spatial resolution. Any discussion about the Antarctic ozone hole would not be complete without showing one of the renditions of the ground-based data from Dobson spectrometer measurements at Halley Bay, Antarctica (75.35◦S, 26.34◦W) (Fig. 1). With these Dobson data as a background, measurements from NASA’s total ozone mapping spectrometer (TOMS) satellite instrument began to provide a more synoptic scale picture of the various aspects of the Antarctic ozone hole and its morphology, a story with which most of you are very familiar. In fact, it has been said that the popularization of the TOMS imagery of the Antarctic ozone hole has made it the “poster child of ozone science” (Fig. 2). Other authors have already provided a wonderful introduction to the various theories that were brought forth regarding the possible causes of the Antarctica ozone depletion. Hence, I will only mention these briefly to connect them to some of the instrumentation that was deployed on the first airborne campaign, the Airborne Antarctic Ozone Experiment (AAOE) conducted from Punta Arenas, Chile in 1987. There were three basic theories: (1) dynamics, in which low ozone air was lifted up from the troposphere into the ozone hole region; (2) solar, in which solar production of odd nitrogen species initiated the NOx catalytic cycle for ozone

Fig. 1 October mean total column ozone abundance from Dobson spectrometer measurements at Halley Bay, Antarctica (75.35◦ S, 26.34◦ W). Updated from Jones et al. (1995). The data originally published by Farman et al. (1985) are shown in red (Data courtesy of J. Shankin, British Antarctic Survey)

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Fig. 2 Total ozone mapping spectrometer (TOMS)

destruction; and (3) halogen chemistry, in which chlorine reservoir species were activated by heterogeneous reactions occurring on polar stratospheric clouds leading to the catalytic loss of ozone by chlorine chemistry. For each one of these hypotheses, some key measurements were identified. In the case of dynamics, it was very important to measure tracers of atmospheric motion (such as N2 O), to be able to relate ozone to its source region. For examining the possible role of NOx catalytic cycles, measurements of NO and other NOy species were critical. Finally, for the halogen cycles, measurements of active chlorine were most significant. Of course, measurements of ozone itself as well as various meteorological parameters were also essential. AAOE benefited significantly, from the first National Ozone Expedition (NOZE I), sponsored by several US agencies and led by Susan Solomon. As we have already heard, initial evidence relating Antarctic ozone depletion to chlorine chemistry was, in fact, provided by that campaign. From an airborne science perspective, the scientific community was fortunate that NASA had been preparing to conduct the Stratosphere and Troposphere Exchange Project in Darwin, Australia, early in 1987. A lot of the instrumentation, predominantly for studying ozone and dynamics, had been constructed and tested for the STEP campaign. Thus, in 1986, through the efforts of a number of people, at NASA, NOAA, NSF, and even chemical industry, the AAOE campaign was formulated. However, it was recognized that some additional critical instrumentation would be required, one of which was the Harvard ClO/BrO instrument that had been flying on high-altitude balloons but had never been flown on an aircraft. It was a masterful engineering accomplishment to get an autonomous instrument working on a high-altitude aircraft in such a short

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Fig. 3 Airborne Antarctic ozone experiment

Fig. 4 Airborne Antarctic ozone experiment

period of time. You can see in the next two charts (Figs. 3 and 4) a picture of the NASA high-altitude research aircraft (the ER-2) in Punta Arenas, Chile, along with a schematic showing the location of the various instruments on the payload, critical for examining each of the proposed theories.


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As it has often been referred to, the smoking gun that came out of this campaign was the incredible data set showing the development of the anti-correlation between active chlorine (in the form of ClO) and ozone. Through this campaign, we were able to assemble a time series from late August through mid-September, in which we can see the buildup of ClO without significant change in ozone until the catalytic cycle could be driven by the return of sunlight. With the return of sunlight to the polar region, the detailed anti-correlation between ClO and ozone develops and significant ozone depletion occurs (Figs. 5 and 6). Since the details of the rate-limiting steps for ozone loss have already been presented by Susan Solomon and Mario Molina it is not necessary for me to discuss them further other than to point out that calculations using the AAOE measurements of ozone and chlorine radicals as a function of time have enabled us to further verify the connection between chlorine catalytic cycles and Antarctic ozone loss. However, I would be negligent not to mention that there are new laboratory data on chlorine oxide photochemistry that refine our understanding, or perhaps point to the lack of full quantitative understanding, of some of these catalytic halogen cycles. This

Fig. 5 Summary of 23 August and 16 September Flights

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Fig. 6 CIO and ozone observations

challenges our ability to qualify ozone loss with the exactness of the metric that we have set. Nevertheless, the causal relationship between the chlorine and bromine chemistry and the Antarctic ozone hole remains robust and I think that many of us are optimistic that the future will enable us to obtain improved quantification of the detailed chemical reactions involved. In summarizing the AAOE accomplishments, it is important to point out that there was a real partnership forged in conducting this experiment, not only among US Government agencies, but also with chemical industries. Without this partnership, a lot of what we did in the lab, as well as in the field could have been accomplished. This stands as one of the true success stories in atmospheric science. From the Antarctic, attention naturally shifted to the Arctic where most of the funding agencies are located in both the USA and Europe and where the population is much greater. Thus, less than 2 years after AAOE, NASA conducted the first Airborne Arctic Stratosphere Expedition (AASE I) from Stavanger, Norway, in 1989. One of the key (surprising) findings of this study was the revelation that active chlorine abundances in the Arctic approached those measured in the Antarctic. The persistence of these high levels of ClO into the sunlit period defines the extent of Arctic ozone loss in late winter and early spring. A couple of years later, we conducted a second Arctic campaign (AASE II) based in Bangor, Maine. We were very fortunate that, despite the lower latitude of the deployment site, we were able to probe into the interior of the Arctic vortex with our research aircraft. This was a result of meteorological conditions shifting the vortex to lower latitudes (nearly over the Bangor deployment base). As in AAOE, we were able to map the evolution of ClO throughout the winter. The AASE II measurements showed the increasing abundances of ClO and decreasing abundances of NO as one moved into the vortex, affirming the similarities in ozone loss chemistry with that occurring in the


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Antarctic. When the vortex had moved over northern US, the incredibly high levels of ClO in the outer vortex gave many people a cause for concern about the potential for significant ozone depletion occurring over populated northern latitudes. Coincidently, in February 1992, the US Senate unanimously voted to accelerate the ban on chlorofluorocarbons (CFCs) (Fig. 7). The focus on the polar regions continued with a summer campaign in 1997. The Photochemistry of Ozone Loss in the Arctic Region in Summer (POLARIS) campaign was designed to understand the seasonal behavior of polar ozone as it changed from high concentrations in spring to the very low concentrations in autumn, attributed to the increased role of NOx catalytic cycles during periods of prolonged solar illumination during the summer period. The POLARIS results helped to improve our understanding of the partitioning of ozone loss amongst different cycles, while also pointing out a lack of closure in our understanding of some of these cycles (Fig. 8). We returned to the Arctic vortex for the winter of 1999–2000, for a campaign that I believe still stands as one of the most extensive international collaborations in airborne science. This was the combined effort of the SAGE III Ozone Loss and Validation Experiment (SOLVE) and the Third European Stratospheric Experiment on Ozone (THESEO). Once again, we were able to demonstrate a very dramatic signature of ClO and ozone anti-correlation on flights taken across the polar vortex.

Fig. 7 Very high CIO over Northern US

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Fig. 8 The photochemistry of ozone loss in the Arctic region in summer (POLARIS)

With the improved and more extensive instrumentation of SOVLE/THESEO we were able to map out ozone loss rates, as a function of NO2 . Thus we were able to characterize the interplay between the NOx and ClOx catalytic cycles. One of the additional key findings was the discovery of some rather large ice particles, now commonly referred to as Nitric Acid Trihydrate (NAT) rocks, which may play a significant role in denitrification processes and (depending on seasonal conditions) could actually lead to enhanced ozone loss in the Arctic. This international cooperation continued with the joint SOLVE II/VINTERSOLEUPLEX campaigns in January–February 2003. This joint US/European effort further refined our understanding of the role of meteorological variability on the susceptibility of the Arctic region to significant seasonal ozone depletion. The campaign also marked the use (from a US perspective) of heavy-lift, high-altitude balloon payloads in conjunction with the research aircraft for studying polar ozone. Lidar measurements from the NASA DC-8 played an important role in quantifying the amount of ozone loss during that Arctic winter. These field measurement campaigns have been conducted via critical partnerships among international funding agencies and institutions, among the members of the international scientific community, and between science and platform operations. Our ability to further our understanding of chemistry and dynamics of atmospheric ozone and to do it in a manner that is tied to climate science, requires a continuation of an integrated and coordinated observational and analytical approach


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Fig. 9 The future of ozone research

consisting of ground-based instruments, balloons, aircraft, satellites, and models. We cannot answer the questions of the future unless we have this type of combined capability (Fig. 9). This can be illustrated by a simplified representation of the interface between science and policy (Fig. 10). We measure the atmosphere using various observational capabilities, and then use information from laboratory studies together with chemical transport models and data assimilation to analyze these results. The models can then be tested by using additional measurements to verify model descriptions of other parts of the atmosphere (at other times, seasons, or latitudes). All of these components feed into the assessment activities that are essential in guiding international environmental policy, a successful component of which we are celebrating in this symposium. Only through iterative studies using a combined suite of observational and analytical capabilities can we develop the improved prognostic ability that is essential for understanding ozone in a chemistry/climate coupled atmosphere. I would like to conclude by echoing something that has been said in a number of ways by other authors. This has, indeed, been an incredible journey for those of us who spent the last few decades in atmospheric science, particularly in the ozone arena. In my case it actually started with the US Climatic Impact Assessment Program (CIAP) focused on understanding the possible environmental effects of stratospheric aircraft. From my own personal perspective, I cannot think of a finer group of traveling companions with whom to have made such a journey. I truly

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Fig. 10 Interactive research elements addressing ozone depletion and recovery

believe that we have changed and will continue to change the course of history in understanding and protecting the Earth’s environment. Hence, I want to thank you, one and all.

References Farman, J. C., Gardiner, B. G., & Shankin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal ClOx /NOx interaction. Nature, 315, 207–210. Jones, A. E., & Shanklin, J. D. (1995). Continued decline of total ozone over Halley, Antarctica since 1985. Nature, 376, 409–411.

Role of Satellite Measurements in the Discovery of Stratospheric Ozone Depletion Pawan K. Bhartia

Abstract This chapter discusses the role satellite total ozone measuring instruments have played in the study of stratospheric ozone depletion. By the early 1980s total ozone measured from two NASA satellites had produced a record that spanned more than a decade, with quality comparable with best ground-based stations. It was therefore a puzzle to many why NASA did not report the discovery of the Antarctic ozone depletion until late 1985. This was initially described as a computer error and continues to be described that way in both scientific and popular media. This simplistic labelling has unfortunately served to hide deeper issues about the ability of satellite instruments in making new scientific discoveries as the nature of the satellite retrieval problems make them critically dependent on the availability of prior information. Lack of such prior information and the unavailability of “ground-truth” data were key contributing factors that caused the delay in reporting the discovery of the Antarctic ozone hole, though it was clearly seen in the data by the summer of 1984. The strength of the satellite instruments is their capability to expand the limited view provided by ground-based and aircraft instruments into a global view. This view played a crucial role in making the public and policy makers aware of the seriousness of the ozone depletion problem that led to the phase-out of the ozone-destroying chemicals. This case is even stronger for the surface UV radiation where large spatial and temporal variability due to clouds and aerosols make it very difficult to see patterns in the data without the perspective that only satellites can provide. Keywords Ozone hole · satellite algorithm · TOMS · total ozone · UVB

P.K. Bhartia Laboratory for Atmospheres NASA Goddard Space Flight Center Greenbelt, Maryland USA e-mail: [email protected]


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Introduction Systematic measurement of stratospheric ozone from satellites started in April 1970 with the launch of the Nimbus-4 satellite by NASA. Subsequently, many instruments of increasing sophistication have been launched on the US, European, Japanese, and Russian satellites. These instruments, along with remote sensing instruments on the ground, and in situ instruments flown on balloon and aircraft, have contributed to the discovery of the stratospheric ozone depletion and have helped in understanding the causes and consequences of this depletion. In this chapter we will focus on just one aspect of this issue, that is, long-term monitoring and mapping of total column ozone from satellites leading up to the discovery in 1984 of the rapid depletion of ozone in the Antarctic polar vortex, now popularly known as the “ozone hole”. Though ground-based stations were the first to report the discovery (Chubachi 1984, 1985; Farmer et al. 1985), satellite-derived maps of global ozone and surface UV radiation have played a key role in convincing the public, the press, and the public officials of the severity of the problem which led to the phase-out of the chloroflurocarbons (CFCs) and other ozone destroying chemicals.

Measurement of Total Column Ozone from Satellites Historical Perspective J. V. Dave and Carlton L. Mateer were the first to propose a technique for estimating the total column ozone from satellites (Dave & Mateer 1967). This technique was loosely based on the ground-based Dobson and Brewer techniques. After the launch of the Backscatter UV (BUV) instrument on the Nimbus-4 satellite, Mateer (1971) successfully used this technique to estimate total ozone from the satellite data. An improved version of this technique (Klenk et al. 1982) was used to process data from the Solar-BUV (SBUV) and Total Ozone Mapping Spectrometer (TOMS) instruments that were launched on NASA’s Nimbus-7 satellite in October 1978 and continued to operate until the early 1990s. The development of these datasets took place at the same time the stratospheric ozone depletion became first a scientific and then an environmental and a public policy issue. Hence these datasets have received considerable scrutiny in both scientific and public media. Since the perceived problems in processing these data continue to be mentioned in modern textbooks, scholarly journals, as well as in the popular press, it is useful to look at the issue in some detail. Retrieval of total ozone from satellites, like all remote sensing techniques, is a mathematically ill-posed problem. It is now well known (Rodgers 2000) that to make these problems tractable one needs a priori information. Recognizing this problem, Mateer (1971) proposed using a set of “standard” ozone profiles to estimate the total column ozone from satellite-measured radiances. The shape of these

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standard profiles varied with total ozone. In adopting this approach Mateer took advantage of a feature of atmospheric ozone that was very well known at the time that variations in total column ozone reflect large-scale variations in the lower stratospheric ozone profile. Hence, he used total ozone itself to select the correct (lower stratospheric) ozone profile. It turns out that this innovative idea works extremely well and continues to be used by modern satellite algorithms. Largely due to the success of the Mateer algorithm, by the early 1980s total ozone had become one of the best-measured atmospheric variables from space, comparable in quality to the best ground-based stations (Bhartia et al. 1984). It was sometimes mentioned euphorically that satellites could one day make the ground-based measurements unnecessary. However, in making such claims people ignore the critical role in situ measurements play in satellite retrievals. To construct the standard profiles, Mateer used ozonesonde data below 25 km and rocketsonde data above. Though the upper stratospheric profiles have been progressively improved using limb-viewing satellite data, the ozonesonde data remain indispensable below 25 km for constructing the information needed for satellite retrievals. Before the discovery of the ozone hole, there were virtually no ozone profiles from sondes that contained less than 180 DU of total ozone; hence the lower range of validity of satellite retrievals was set at 180 DU. Smaller values were flagged as invalid since they couldn’t be correctly retrieved using the standard profiles. When the SBUV and TOMS data from October 1983 were processed at NASA in August 1984, it quickly became clear that both satellite instruments were measuring far more UV radiation than that expected from a 180 DU total ozone standard profile. To analyze these data the standard ozone profiles were arbitrarily extrapolated to lower ozone values. Figure 1 shows the first complete map of the Antarctic ozone hole ever made. It was made in late 1984 using Nimbus-7 TOMS data. This map and the ozone profiles derived from the SBUV instruments were presented at the IAGA/IAMA symposium in Prague, Czechoslovakia, 1985 (Bhartia et al. 1985). Several figures from this presentation were later reproduced in a paper (Callis & Natarajan 1986). When the ozonesonde data taken inside the Antarctic polar vortex became available the standard profiles were extended down to 125 DU. These profiles are now used for processing all satellite data. Unfortunately, some in the scientific community have derived incorrect conclusions from this experience. It has been widely but incorrectly reported that the TOMS team missed the discovery of the ozone hole since “they rejected the data and discovered it only after the publication of Farman et al. 1985 paper” (see Seinfeld & Pandis 1998, page 189, for a typical example). In fact when the South Pole Dobson data from October 1984 became available to the TOMS team in late 1984, well before the publication of Farman et al. paper, there was no doubt on the validity of satellite total ozone retrievals. (Ironically, October 1983 total ozone values initially reported by the S. Pole station showed normal ozone values that were much larger than that being reported by TOMS. These data were later withdrawn by the station.) The correct conclusion that should be derived from this experience is that remote sensing techniques, such as those used by nadir-viewing satellites,

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Fig. 1 The figure shows October 1, 1983 map of the total ozone column over Antarctica and surrounding regions. It was made in late 1984 by special processing of the data taken by the TOMS instrument on the Nimbus-7 satellite. Special processing was required since the ozone profile information needed by the operational algorithm was not available for total ozone amounts below 180 DU. Red and orange colored values in the center of the map are below 180 DU. They may have errors of up to 10% since they were produced by making a rough guess of the ozone profile. The data were later reprocessed when the ozonesonde data from Antarctica became available

depend critically on information generated by in-situ techniques because of their dependence on prior information. When the retrievals are pushed beyond the limits set by prior information the data become suspect. To report such data without proper validation is scientifically irresponsible. The TOMS team followed the correct approach even though it caused several months delay in reporting the data to the scientific community.

Current Status A modified version of the Klenk et al. 1982 algorithm is still in use (TOMS V8 and V8.5). The modifications consist of better handling of clouds and UVabsorbing aerosols, such as smoke and dust. The V8.5 algorithm uses effective


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cloud heights derived from the filling-in of Fraunhofer lines by rotational Raman scattering using data from the Ozone Monitoring Instrument (OMI) that has been flying on NASA’s Aura satellite since July 2004. In 2003 a new SBUV algorithm (SBUV V8) was developed in which total ozone is derived by integrating the ozone profile derived by optimal estimation using the shorter SBUV wavelengths. Since this makes the algorithm less sensitive than TOMS algorithm to instrumental errors, as well as to a priori ozone profile and aerosols, the TOMS data have been adjusted so they agree with the mean total ozone derived from Nimbus-7 SBUV and NOAA SBUV/2 series of instruments. Several groups in Europe have independently developed algorithms to derive total ozone from modern hyperspectral instruments (GOME, SCIAMACHY, OMI) using the Differential Optical Absorption Spectroscopy (DOAS) technique. These algorithms use a priori profiles similar to those proposed by Mateer, but are less sensitive to some types of instrumental errors than the TOMS algorithm. These algorithms produce results very similar to the SBUV and TOMS algorithms in low and mid latitudes, though significant differences remain at large solar zenith angles.

Surface UV Radiation UVB produces both biological and photochemical effects. These effects can be beneficial or harmful. UVB is an important source of vitamin D, which is getting increasing attention in the medical community as being vital for human health. It also produces the hydroxyl radical that is necessary to cleanse the atmosphere of pollutants. The harmful effects are skin cancer, DNA damage, and production of smog. Long-term changes in UVB are caused by 3 major factors: total ozone, clouds and aerosols. Shape of the ozone profile and surface albedo are usually of minor importance. Since the effects of clouds and aerosols on UVB are largely multiplicative, percent change in UVB due to change in total ozone can be estimated accurately without considering cloud and aerosols. Given global total ozone data from satellites starting in 1970, it is fairly straightforward (Herman et al. 1996) to calculate the “ozone forcing” on global UVB, if we define ozone forcing as percentage change in UVB due to changes in ozone since 1970. However, forcings due to clouds and aerosols are much harder to quantify and remain controversial. It has been reported recently that ground-based pyranometers that measure broad-band visible radiation have detected 2–3%/year reduction in total solar irradiance at the ground at many sites over the globe, including Antarctica. These estimates are also supported by pan-evaporation measurements. This effect is now popularly known as “global dimming”. It has been postulated that this dimming may have been caused by increase in cloud brightness due to the indirect effect of aerosols on clouds. It is also believed that increase in soot content of aerosols in many parts of the world may have caused additional dimming. These changes would produce similar effects on UVB, reducing the effects of ozone depletion over most of the world, and causing long-term UVB decrease in the tropical region.

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However, satellite data have not confirmed these estimates. Eck et al. (1995) showed that the attenuation of UV radiation by clouds can be estimated accurately using satellite measured radiances at a non-ozone-absorbing UV wavelength (340– 380 nm). The technique is based on the concept of Lambert-equivalent reflectivity (LER) that was first proposed by Dave & Mateer (1967) to derive total ozone from satellites. Satellite data taken since 1970 do not show significant increase in LER as would be expected if there has been a global brightening of the clouds. It is possible that the effect may have been partially canceled by global increase in UV-absorbing aerosols. Aerosols that have stronger absorption in the UV than in the visible include secondary organic carbons and desert dust containing hematite.

Conclusion Satellite instruments have made significant contribution to the study of stratospheric ozone depletion. However, satellite data are most useful when they are combined with high quality in-situ measurements taken from balloon and aircraft. Many satellite techniques depend on this information to create a priori information needed for accurate retrievals. In addition, systematic long-term measurements from fixed sites on the ground are necessary for inter-calibrating satellite instruments across data gaps and to account for changes in algorithms and instruments. Though the effect of ozone depletion on UVB is straightforward to estimate using satellite and ground-based total ozone data, the expected increase in UVB since 1970 due to ozone changes may have been moderated or reversed by global dimming of solar radiation due to aerosol-caused brightening of clouds and increases in UV-absorbing aerosols. Careful comparison of satellite data in the 330–380 nm wavelength range with ground-based UV and pyranometer data may help clarify this issue.

References Bhartia, P. K., Klenk, K. F., Wong, C. K., Gordon, D., & Fleig, A. J. (1984). Intercomparison of Nimbus 7 SBUV/TOMS total ozone data sets with Dobson and M83 results. Journal of Geophysical Research, 89, 5239–5247. Bhartia, P. K., Heath, D. F., & Fleig, A. F. (1985, August). Observation of anomalously small ozone densities in south polar stratosphere during October 1983 and 1984. (Paper presented at the Symposium on Dynamics and Remote Sensing of the Middle Atmosphere, 5th Scientific Assembly, Int. Assoc. of Geomagn. and Aeron, Prague, Czechoslovakia). Callis, L., & Natarajan, M. (1986). The Antarctic ozone minimum: Relationship to odd nitrogen, odd chlorine, the finsal warming, and the 11-year solar cycle. Journal of Geophysical Research, 91(10), 771–10, 796. Chubachi, S. (1984). Preliminary result of ozone observations at Syowa Station from February, 1982 to January, 1983. Memoirs of the National Institute of Polar Research, Japanese Special Issue, 34, 13–20.


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Chubachi, S. (1985). A special ozone observation at Syowa station, Antarctica from February 1982 to January 1983. In C. S. Zerefos and A. Ghazi (Eds.), Atmospheric Ozone (pp. 285–289). Dordrecht: D. Reidel Publ. Dave, J. V. & Mateer, C. L. (1967). A preliminary study on the possibility of estimating total atmospheric ozone from satellite measurements. Journal of Atmospheric Science, 24, 414–427. Eck, T. F., Bhartia, P. K., & Kerr, J. B. (1995). Satellite estimation of spectral UVB irradiance using TOMS derived total ozone and UV reflectivity. Geophysical Research Letters, 22, 611–614. Farman, J. C., Gardiner, B. G., & Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal ClOx /NOx interaction. Nature, 315, 207–210. Herman, J. R., Bhartia, P. K., Ziemke, J., Ahmad, Z., & Larko, D. (1996). UV-B radiation increases (1979–1992) from decreases in total ozone. Geophysical Research Letters, 23, 2117–2120. Klenk, K. F., Bhartia, P. K., Fleig, A. J., Kaveeshwar, V. G., McPeters, R. D., & Smith, P. M. (1982). Total ozone determination from the backscattered ultraviolet (BUV) experiment. Journal of Applied Meterology, 21, 1672–1684. Mateer, C. L. (1971). Estimation of total ozone from satellites measurements of backscattered ultraviolet earth radiance. Journal of Atmospheric Science, 28, 1307–1311. Rodgers, C. D. (2000). Inverse Methods for Atmospheric Sounding. New York: World Scientific Publishing. Seinfeld, H. J. & Pandis, S. N. (1998). Atmospheric Chemistry and Physics. New York: Wiley.

Estimating When the Antarctic Ozone Hole will Recover Paul A. Newman, Eric R. Nash, Anne R. Douglass, J. Eric Nielsen, and Richard S. Stolarski

Abstract The Antarctic ozone hole develops during the Austral winter and reaches its deepest levels by early spring (late September to early October). The severity of the hole has been assessed from satellites by calculating the average aerial coverage of depletion during the September–October period. Profile information shows that ozone is completely destroyed in the 14–21 km layer by early October. This ozone is mainly destroyed by halogen (chlorine and bromine) catalytic cycles, and these losses are modulated by temperature variations. Because atmospheric halogen levels are responding to international agreements that limit or phase out production, the amount of halogens in the stratosphere should considerably decrease over the next few decades. Using projections of halogen levels combined with age-of-air estimates, we find that the ozone hole is recovering at an extremely slow rate and that large ozone holes will regularly recur over the next 2 decades. We estimate that the ozone hole will begin to show first signs of area decrease in about 2023, and the hole will fully recover to pre-1980 levels in approximately 2070. Estimates of the ozone hole’s recovery from models reveal important uncertainties in recovery as a result of climate change. Keywords Antarctic · ozone depletion · ozone hole · recovery · stratosphere P.A. Newman (B) Atmospheric Chemistry and Dynamics Branch Code 613.3, NASA’s Goddard Space Flight Center Greenbelt, MD 20771, USA e-mail: [email protected] E.R. Nash Science Systems and Applications, Inc. 10210 Greenbelt Road, Lanham, MD 20706, USA A.R. Douglass Atmospheric Chemistry and Dynamics Branch Code 613.3, NASA’s Goddard Space Flight Center Greenbelt, MD 20771, USA J.E. Nielsen Science Systems and Applications, Inc. 10210 Greenbelt Road, Lanham, MD 20706, USA R.S. Stolarski Atmospheric Chemistry and Dynamics Branch Code 613.3, NASA’s Goddard Space Flight Center Greenbelt, MD 20771, USA


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Introduction The Antarctic ozone hole is the most recognizable part of the ozone depletion problem, and is a classic example of the effects of human-produced compounds on our atmosphere on a very large scale. The discovery of the ozone hole by Farman et al. (1985) was quickly followed by research that both explained the major aspects of the unusual chemistry and showed that the ozone hole resulted from human-produced chlorine and bromine gases that have very long lifetimes in the atmosphere (i.e., chlorofluorocarbons or CFCs). These ozone-depleting substances (ODSs) were soon regulated under the Montreal Protocol and their production is now almost completely phased out. Hence, the recovery of the Antarctic ozone hole should be a major success for the Montreal Protocol. The Montreal Protocol was implemented as a result of the careful science that identified the human-produced ODSs as threats to the ozone layer. The discovery of the Antarctic ozone hole brought this threat to the immediate attention of both the science and policy-maker communities. Because of the agreement, the levels of ODSs are declining in ground measurements (WMO 2007), while satellite observations of HCl show that stratospheric chlorine levels are also declining (Anderson et al. 2000; Froidevaux et al. 2006). Hence, the science of the Antarctic ozone hole has now entered an accountability phase. The science–accountability phase presents us with two principal questions. First, what are the milestones of Antarctic ozone hole recovery as the levels of ODSs decline? Second, what might modify or change this recovery? Bodeker and Waugh (2007) defined three phases of ozone recovery: (i) a slowing of ozone decline, identified as the occurrence of a statistically significant reduction in the rate of decline in ozone because of changing equivalent effective stratospheric chlorine (EESC); (ii) the onset of ozone increases (turnaround), identified as the occurrence of statistically significant increases in ozone above previous minimum values due to declining EESC; and (iii) the full recovery of ozone from ODSs, identified as when ozone is no longer affected by ODSs. In the absence of changes in the sensitivity of ozone to ODSs, this is likely to occur when EESC returns to pre-1980 levels. Surface observations have been combined with ODS emission estimates to develop scenarios of future ground levels of ODSs. For example, scenario A1 (Daniel & Velders 2007) assumes adherence to the Montreal Protocol and projects a steady decline of most ODSs over the coming decades. EESC is a simple combination of ODSs that was developed to relate halogen evolution to tropospheric source gases in a simple manner (Daniel et al. 1995). EESC is a sum of ODSs that accounts for: (i) a transit time to the stratosphere, (ii) the greater potency of stratospheric bromine (Br) compared to chlorine (Cl), and (iii) the varying fractions with which Cl and Br are released in the stratosphere from different source gases (i.e., fractional release). Fractional release accounts for ODS disassociation in the stratosphere relative to the amount that passed through the tropopause. EESC has been used to relate predictions of human-produced ODS abundances to future ozone depletion in the WMO/UNEP assessments.

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The current description of the recovery stage (i) requires a reduction of the ozone decline due to changing Antarctic EESC. However, the ozone losses over Antarctica tend to saturate (i.e., 100% loss), resulting in no ozone change for either an increase or decrease of Antarctic EESC. In addition, the Antarctic EESC levels can only be inferred from a limited set of atmospheric and ground observations. A number of early studies predicted the recovery of the Antarctic ozone hole in the middle of the twenty-first century (see Fig. 1). Hofmann et al. (1997) used an empirical model that was based upon midlatitude EESC and the South Pole ozonesonde observations to predict a recovery in 2050. Shindell et al. (1998) used a GCM with parameterized chemistry to show an ozone hole recovery in 2046 (their Fig. 3). Newman and Rex (2003) used coupled chemistry-climate models (CCMs) to show a recovery in approximately 2050. They also used an ozone hole area diagnostic to show recovery later than 2050 (their Figure 3–47), but this diagnostic tended to overestimate the recovery in the models because these models were biased with respect to observations. Recent observational studies and improved model analysis suggest that the ozone hole recovery will occur in approximately 2070. Here we describe the current understanding of the recovery of the Antarctic ozone hole and show recovery predictions. The next section provides a description of Antarctic EESC and the recovery of this Antarctic EESC to 1980 levels. The recovery of EESC to 1980 levels is the fundamental measurement of ozone hole

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recovery. The third section provides a description of estimates of recovery derived from an empirical model of ozone hole area. Other studies of recovery will also be discussed. The fourth section gives a descriptive assessment of processes that will affect recovery. The last section provides a summary of the results.

Ozone Depleting Substances Over Antarctica ODSs are chlorine- and bromine-containing chemicals that have very long lifetimes in the atmosphere (e.g., chlorofluorocarbons). Observations from surface stations have been combined with ODS emission estimates to develop future ground levels of ODSs such as given in scenario A1 (Daniel & Velders 2007). This scenario assumes that the Montreal Protocol will be adhered to and projects a steady decline of most ODSs over the coming decades. As noted earlier, EESC was developed to relate halogen evolution to tropospheric source gases in a simple manner (Daniel et al. 1995). Future EESC values depend on current values, estimates of future emissions, and the atmospheric lifetimes of a number of species. The lifetimes of species play a key role in future ozone levels. Prather and Watson (1990) examined the impact of halogen lifetimes on midlatitude stratospheric chlorine levels by adjusting ODS lifetimes. In their study, they adjusted lifetimes upward (downward) by 25% and found that peak stratospheric chlorine increased by 230 ppt (decreased by 310 ppt) while the recovery to a 2000 ppt level shifted from 2073 to 2095 (2053). Newman et al. (2006) estimated ODS levels by calculating an Antarctic EESC. Figure 2 shows the Antarctic EESC estimate as adapted from their Figure 5. The Antarctic EESC level is computed from scenario A1 with a mean age of air of 5.5 years and an age spectrum width of 2.75 years (details of the computation can be found in Newman et al. 2007). The peak Antarctic EESC value occurs in 2001 at just over 4,000 ppt. The two natural ODS compounds are methyl bromide (CH3 Br) and methyl chloride (CH3 Cl). Both compounds are also human produced, where CH3 Cl was once used as a refrigerant, while CH3 Br is still used as a fumigant. Using 1950 as a “natural level,” we estimate that 21% of the Antarctic EESC in 2001 was natural, while 79% was anthropogenic. In 2007, the Antarctic EESC had decreased by only 3.1% from the 2001 peak level. Between 1950 and 1980, Antarctic EESC levels more than doubled. However, ozone levels showed only modest changes from 1957 to 1980 (Farman et al. 1985). After 1980, Antarctic ozone levels decreased radically. Because only small losses were observed prior to 1980, this year is conventionally chosen as a reasonable level of normal conditions. Based upon the scenario A1 estimate, the Antarctic EESC returns to a 1980 level in 2067. This return to 1980 levels is dominated by the decreases of CFC-11, carbon tetrachloride (CCl4 ), Halon-1211, and methyl chloroform (CH3 CCl3 ).


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Estimates of Ozone Hole Recovery The area of the ozone hole grew dramatically in the period after 1980 (Newman et al. 2004). Figure 3 shows the area of the ozone hole averaged over the Sept. 21–30 period as estimated from the total ozone mapping spectrometer (TOMS) series of satellite instruments and the ozone monitoring instrument (OMI) on the Aura satellite (updated from Figure 1 of Newman et al. 2006). The area of the ozone hole is primarily related to the levels of chlorine and bromine and the year-to-year variability of temperature of the Antarctic vortex collar region (Newman et al. 2004). Year-to-year variability of the area is related to the temperature, such that a 1 K colder than average temperature results in an ozone hole area that is approximately 1 million square kilometers larger than average (for peak chlorine loadings). For example, 1988 and 2002 were warmer than average in the polar vortex collar, so the ozone hole area was much smaller than average. Newman et al. (2006) fit the ozone hole area to Antarctic EESC and lower stratospheric temperatures in the lower stratosphere. Using the Antarctic EESC fit to area and assuming a fixed temperature, the area can be projected into this century using the future Antarctic EESC levels from scenario A1. The blue line in Fig. 3 shows the Antarctic EESC fit to area for the years 1979 to 2007, and the projection of the area after 2007. The fit clearly shows a plateau in the period from the early 1990s to about 2015. After 2015, the area begins to decrease more rapidly. While the Antarctic EESC decreased by 3.1% from the 2001 peak to 2007, the area only decreased by 0.4%. This insensitivity of area to Antarctic EESC changes reflects the effects of ozone loss saturation.

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While the area of the ozone hole is used as a diagnostic here, it is also possible to use ozone mass deficit or ozone hole minimum as a variable in the regression. In addition, it is also possible to repeat the ozonesonde profile study performed by Hofmann et al. (1997). These approaches yield results similar to those shown in Fig. 3. Recent modeling studies of the Antarctic ozone hole have also indicated a recovery in the 2060 to 2070 time frame (Fig. 1). Austin and Wilson (2006) used the GFDL CCM to predict a recovery in 2065. Bodeker and Waugh (2007) looked at an ensemble of CCMs to estimate a recovery in this 2060 to 2070 time frame. However, they also found a large scatter in these CCMs extending from a recovery in 2035 to 2095. Eyring et al. (2007) found that these CCMs tended to underestimate Antarctic EESC, and hence had recovery dates that were too early. Correcting the Antarctic EESC in the CCMs results in a recovery estimate within this 2060 to 2070 period.

Uncertainties The recovery of the ozone hole has a number of key uncertainties. The uncertainties can be roughly partitioned into three groups: (1) future ODS levels, (2) circulation changes, and (3) climate change impact in the polar lower stratosphere. All three groups overlap to some extent. The ODSs used in Figs. 1, 2, and 3 are all based upon scenario A1 of Daniel and Velders (2007). This scenario was postulated on the expected growth projections and


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phase outs of certain compounds. In the Fall of 2007, the signatories to the Montreal Protocol accelerated the phase out of HCFCs. Assuming that HCFCs 22, 141b, and 142b have completely disappeared from the atmosphere by 2060, the recovery of the Antarctic ozone hole shifts earlier by 3.9 years. Using the zero emission scenario (EO) from Daniel and Velders (2007), the recovery shifts from 2067 to 2053 (Newman et al. 2007). Hence, these ODS projections suggest that the policy choices can have an impact on ozone hole recovery. In addition to policy choices, the estimation of future ODS levels is based upon estimates of the future emissions and the lifetimes of the individual species (see Montzka & Fraser 2003). As an example of uncertainties with respect to lifetimes, the current estimate of the lifetime of CFC-11 is 45 years (Clerbaux & Cunnold 2007). However, Gupta et al. (2001) and Douglass et al. (2008) used models to estimate a CFC-11 lifetime of 55–56 years. Liang et al. (2008) used the Goddard earth observing system chemistry-climate model (GEOS CCM) to simulate an emissions-based scenario rather than a mixing ratio-based scenario. This simulation led to an examination of tropospheric CFC-11 levels in comparisons to tropospheric observations. The simulated CFC-11 was found to be higher than observations, suggesting that current emissions are overestimated and that future CFC-11 emissions may be higher than current estimates. Since CFC-11 is a major contributor to Antarctic EESC (see Fig. 2), the future Antarctic EESC recovery has considerable uncertainty. The Brewer–Dobson (BD) circulation lofts air from the tropical tropopause into the middle-to-upper stratosphere, and then carries it southward in the upper stratosphere, where this air then descends over Antarctica over the course of the winter. This circulation takes approximately 5.5 years for a mean air parcel over Antarctica, although this 5.5 year mean age comes from a collection of parcels with ages ranging from a couple of years out to 8 years or more (an age spectrum). The estimates of Antarctic EESC are based upon measurements of mean age-ofair, estimates of the age spectrum width, and observed fractional release values in the NH lower stratosphere. Newman et al. (2007) explored the uncertainties related to measurements and assumptions used to calculate Antarctic EESC. In a Monte Carlo simulation, they found that the uncertainty in the recovery ranged from an early date of 2056 to a late date of 2077. Another key assumption in estimating Antarctic EESC is that the transport times (e.g., mean age of air) remain fixed. However, Butchardt et al. (2006) have shown that the BD circulation will accelerate as greenhouse gases (GHGs) increase in our atmosphere. Douglass et al. (2008) have shown that this faster circulation modifies the fractional release values, leading to a higher release for the same mean age. These release values as a function of mean age of air are key functions for estimating Antarctic EESC. Hence, the modification of both the mean age and the release rates as a function of mean age adds considerable uncertainty to Antarctic recovery. The third major uncertainty in recovery could be caused by a change in temperature over Antarctica. Figure 4 displays a plot of temperature over Antarctica from the GEOS CCM (Pawson et al. 2008). The thick gray line shows the temperature trend of 0.2 K/decade. This trend results from increased wave driving observed

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propagating upward from the SH troposphere. The increased frequency of warm episodes (e.g., 2065 in Fig. 4) is caused by the increased frequency of large wave pulses emanating from the troposphere. The area regression against temperature (used in Fig. 3, see Newman et al. 2006) can be used to estimate the impact of this warming on the ozone hole. As noted earlier, a warming will cause the ozone hole to shrink. The regression analysis yields a relationship of approximately 1 million square kilometers/K. Hence, a warming of 1.2 K between 2000 and 2060 would cause the ozone hole to shrink by an additional 1.2 million square kilometers. Hence, this model run suggests that the warming of the polar lower stratosphere during the mid-winter period will accelerate the ozone hole disappearance by a modest amount. While this single model run to 2100 is indicative of the expected change, further analysis is necessary to determine how robust a polar warming might be.

Summary The recovery of polar ozone was originally expected to follow midlatitude recovery. It is now recognized that recovery of the ozone hole will occur approximately 10–20 years later than the midlatitudes because of the timing delay of air getting to Antarctica.


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The ozone hole will fully recover to 1980 levels by 2067 ± 10 years. The first stage of recovery will be seen in about 2023. This calculated uncertainty in recovery is due to a number of factors: mean age of air, fractional release, the alpha factor (scaling of bromine efficiency for ozone destruction), and age spectrum width. The primary factor behind the ozone hole’s recovery is the decrease in inorganic chlorine (Cly ) and bromine (Bry ). The decreased use of HCFCs if implemented will hasten Antarctic recovery by 3–4 years. A complete elimination of emissions (scenario E0) is not realistic, but the 2053 recovery provides a lower limit on the effects of emission controls. The assessment of the climate impact on the Antarctic ozone hole is complicated by both temperature and circulation changes. The intensification of the BD circulation will alter mean age of air and fractional release values. This in turn will alter the levels of Antarctic EESC, possibly accelerating recovery. The temperature of the stratosphere will change in a future GHG climate. In our model, temperatures increase because of a stronger wave-driving effect from the troposphere. This warming of the Antarctic stratosphere would further accelerate recovery. However, these climate effects are modest. Acknowledgements This analysis work was mainly supported under a NASA grant for the Atmospheric Chemistry and Analysis Program (ACMAP), while the GEOS CCM modeling work was supported under a grant from the NASA Modeling, Analysis and Prediction (MAP) Program.

References Anderson, J., Russell, J. M. III, Solomon, S., & Deaver, L. E. (2000). Halogen Occultation Experiment confirmation of stratospheric chlorine decreases in accordance with the Montreal Protocol. Journal of Geophysical Research, 105(D4), 4483–4490. Austin, J., & Wilson, R. J. (2006). Ensemble simulations of the decline and recovery of stratospheric ozone. Journal of Geophysical Research, 111, D16314, doi: 10.1029/2005JD006907. Bodeker, G. E., & Waugh, D. W. (Lead Authors), et al. (2007). The ozone layer in the 21st Century, Chapter 6 in Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project—Report No. 50, 572 pp., World Meteorological Organization, Geneva, Switzerland. Butchart, N., Scaife, A. A., Bourqui, M., de Grandpré, J., Hare, S. H. E., Kettleborough, J., et al. (2006). Simulations of anthropogenic change in the strength of the Brewer–Dobson circulation. Climate Dynamics, 27, 727–741, doi: 10.1007/s00382–006–0162–4. Clerbaux, C., & Cunnold, D. (Lead Authors), et al. (2007). Long-lived compounds, Chapter 1 in Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project—Report No. 50, 63 pp., World Meteorological Organization, Geneva, Switzerland. Daniel, J. S., Solomon, S., & Albritton, D. L. (1995). On the evaluation of halocarbon radiative forcing and global warming potentials. Journal of Geophysical Research, 100(D1), 1271–1285. Daniel, J. S., & Velders, G. J. M. (Lead Authors), et al. (2007). Halocarbon scenarios, ozone depletion potentials, and global warming potentials, Chapter 8 in Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project—Report No. 50, 572 pp., World Meteorological Organization, Geneva, Switzerland. Douglass, A. R., Stolarski, R. S. Schoeberl, M. R. Jackman, C. H. Gupta, M. L. Newman, P. A. Nielsen, J. E., & Fleming, E. L. (2008). Relationship of loss, mean age of air and the distribution

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of CFCs to stratospheric circulation and implications for atmospheric lifetimes. J. Geophys. Res., 113, D14309, doi: 10.1029/2007JD009575. Eyring, V., et al. (2007). Multimodel projections of stratospheric ozone in the 21st century. Journal of Geophysical Research, 112, D16303, doi: 10.1029/2006JD008332. Farman, J. C., Gardiner, B. G., & Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal ClOx /NOx interaction. Nature, 315, 207. Froidevaux, L., et al. (2006). Temporal decrease in upper atmospheric chlorine. Geophysical Research Letters, 33, L23812, doi: 10.1029/2006GL027600. Gupta, M. L., Turco, R. P., Mechoso, C. R., & Spahr, J. A. (2001). On-line simulations of passive chemical tracers in the University of California, Los Angeles. atmospheric general circulation model. 1. CFC-11 and CFC-12, Journal of Geophysical Research, 106(D12), 12,401–12,417. Hofmann, D. J., Oltmans, S. J., Harris, J. M., Johnson, B. J., & Lathrop, J. A. (1997). Ten years of ozonesonde measurements at the south pole: Implications for recovery of springtime Antarctic ozone. Journal Geophysical Research, 102(D7), 8931–8943. Liang, Q., Stolarski, R. S. Douglass, A. R. Newman, P. A., & Nielsen, J. E. (2008), Evaluation of emissions and transport of CFCs using surface observations and their seasonal cycles and the GEOS CCM simulation with emissions-based forcing. J. Geophys. Res., 113, D14302, doi: 10.1029/2007JD009617. Montzka, S. A., & Fraser, P. (Lead Authors), et al. (2003). Controlled substances and other source gases, Chapter 1 in Scientific Assessment of Ozone Depletion: 2002, Global Ozone Research and Monitoring Project–Report No. 47, 83 pp., World Meteorological Organization, Geneva, Switzerland. Newman, P. A., Rex, M. (Lead Authors), et al. (2003). Polar stratospheric ozone: Past and future, Chapter 3 in Scientific Assessment of Ozone Depletion: 2002, Global Ozone Research and Monitoring Project–Report No. 47, 104 pp., World Meteorological Organization, Geneva, Switzerland. Newman, P. A., Kawa, S. R., & Nash, E. R. (2004). On the size of the Antarctic ozone hole. Geophysical Research Letters, 31, L21104, doi: 10.1029/2004GL020596. Newman, P. A., Nash, E. R., Kawa, S. R., Montzka, S. A., & Schauffler, S. M. (2006). When will the Antarctic ozone hole recover? Geophysical Research Letters, 33, L12814, doi: 10.1029/2005GL025232. Newman, P. A., Daniel, J. S., Waugh, D. W., & Nash, E. R. (2007). A new formulation of equivalent effective stratospheric chlorine (EESC). Atmospheric Chemistry and Physics, 7, 4537–4552. Pawson, S., Stolarski, R. S., Douglass, A. R., Newman, P. A., Nielsen, J. E., Frith, S. M., Gupta, M. L. (2008). Goddard Earth Observing System chemistry-climate model simulations of stratospheric ozone-temperature coupling between 1950 and 2005. J. Geophys. Res., 113, D12103, doi: 10.1029/2007JD009511. Prather, M. J., & Watson, R. (1990). Stratospheric ozone depletion and future levels of atmospheric chlorine and bromine. Nature, 344, 729–734. Shindell, D. T., Rind, D., & Lonergan, P. (1998). Increased polar stratospheric ozone losses and delayed eventual recovery owing to increasing greenhouse-gas concentrations. Nature, 392, 589–592. WMO (World Meteorological Organization) (2003). Scientific Assessment of Ozone Depletion: 2002, Global Ozone Research and Monitoring Project–Report No. 47, Geneva, Switzerland. WMO (World Meteorological Organization) (2007). Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project–Report No. 50, Geneva, Switzerland.

The European Arctic Ozone Campaigns* Jean Pierre Pommereau

Abstract With the support of the Commission and their respective national agencies, European scientists have played a key role in the study of mechanisms leading to stratospheric ozone depletion in the northern hemisphere. Based on the experience of the first French–German balloon flights in Northern Sweden in 1987–1990, an extensive research programme was carried out during the following decade combining field observations using balloon, aircraft and ground-based stations in the Arctic and at mid-latitude, as well as laboratory chemistry and modelling. More than 300 scientists from Europe, the USA, Russia, Japan and others have participated in the effort, the results of which were presented and discussed at a series of ‘European Arctic Ozone Symposia’ and published in several special issues of international scientific journals. Altogether, the European Arctic Ozone campaigns resulted in significant progress in ozone science providing the Commission with the required information for the definition of Europe policy in the frame of the Protocol of Montreal. Keywords Arctic · Europe · ozone · research programmes · stratosphere

Introduction The discovery of the ozone hole at Halley bay in Antarctica in 1985, followed by the discovery of the role of chlorine activation by heterogeneous processes after the NASA-ER2 campaign in Southern Chile in 1987, immediately prompted the question of the possible existence of a similar hole in the Arctic, especially over the populated European region of Northern Scandinavia. Facing the fast evolution of this unpredicted threat already debated in Montreal, European scientists reacted rapidly by promoting research programmes and developing new ground-based, airborne and balloon instrumentation for understanding how far similar ozone J.P. Pommereau Service d’Aéronomie, CNRS Verrières le Buisson, 91371, Paris, France e-mail: [email protected] ∗ In

memoriam: Anver GHAZI, Gérard MEGIE, Heinrich OTT


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depletion could happen in the Arctic. The objective of this chapter is not to describe the many scientific results of the several following field campaigns, which the reader will find elsewhere, but to provide a historical view of the European efforts for addressing the new issue.

1987–1990 French–German CHEOPS Campaigns The first effort is the result of an initiative of German–French scientists for a CHEOPS (chemistry of ozone in the polar stratosphere) campaign in Kiruna in Northern Sweden in early 1987. The project included the first balloon flights carried out with the help of the balloon division of the Centre National d’Etudes Spatiales (CNES) in France in collaboration with the Swedish ESRANGE rocket range (Fig. 1), and the development of the first UV–Visible spectrometers for monitoring ozone during the winter. The pioneer effort was quite rough. Indeed, the instrumentation available in Europe by that time for adequate ozone loss mechanism studies was limited, and the difficulty of launching and flying balloons at low temperature, moreover in the fast moving stratospheric vortex, was yet to be discovered. Although limited scientific results were achieved during this first attempt, it resulted in a growing interest of European scientists for developing and flying more powerful instrumentation and CNES and ESRANGE for improving balloon operation techniques. Building on these lessons, a new CHEOPS II campaign involving more scientists, including scientists from Japan, was carried out during the following winter and an even more efficient CHEOPS III in 1989–1990, while in the meantime NASA was carrying out its first AASE (airborne stratospheric ozone expedition) in the Arctic with its ER-2 and DC8 aircraft based in Stavanger in Norway. Overall, apart from learning how to carry out safe balloon operations during the winter, the CHEOPS campaigns resulted in significant first scientific achievements. The balloon flights have allowed the obtainment of the first measurements of PSC particles, water vapour, age-of-air using a cryosampler, NOx /NOy and HNO3 in the stratospheric vortex. These campaigns also promoted the deployment of ground-based UV–Visual (UV–Vis), Fourier transform infrared spectroscopy (FTIR) and Dial Lidar, as well as ozonesonde programmes at several stations in Kiruna, Sodankyla in Finland, Bear Island and Ny-Alesund in Svalbard, with which the first series of measurements of the evolution of ozone, NO2 , OClO, HCl, HNO3 and PSCs during the winter were achieved. Finally, first indications of the existence of an Arctic ozone hole, though of less amplitude than in the Arctic, was derived from a series of ozonesonde carried by the University of Wyoming in Kiruna. The results of the CHEOPS III campaign are summarised in a special issue of the Geophysical Research Letters (Pommereau et al. 1991).

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Fig. 1 Centre National d’Etudes Spatiales (CNES) stratospheric balloon inflation in the winter at ESRANGE in Kiruna (Courtesy F. Goutail, CNRS)

1989 Involvement of the European Commission In the meantime, the European Commission (EC) involved in the negotiations of the Protocol of Montreal and its further amendments, was willing to develop the research in Europe for getting independent advices on ozone issues and possible mitigations. The merit of the action owns to Heinrich Ott, head of the Environment Division of the General Direction XII, the former name of Direction Research, who installed in 1989 an ‘Ozone Science Panel’ in Brussels, chaired by Gerard Megie. The first decision made by the panel was the installation of an ‘Ozone Coordinating Unit’ at the University of Cambridge headed first by Tony Cox, then by John Pyle and later by Neil Harris, for preparing plans for campaigns. In October 1990, the First European Workshop (Stratospheric Ozone 1990) was held in Schliersee in Germany gathering all interested European scientists for reviewing the results of the CHEOPS campaigns, and building on this heritage a sound European research programme. The result of this brainstorming session was the European Arctic stratospheric ozone experiment (EASOE).

1991–1992 EASOE The European Arctic stratospheric ozone experiment has been a large effort. Sixteen ground-based stations among which the Alomar lidar facility in Norway and ozonesondes at 22 sites (Fig. 2), were deployed, several of them constituting the

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a

ARC

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Ozone sondes Balloons Ground based Rocket Aircraft Weather ship Data Centre Coordination Unit Operational Headquarters

Fig. 2 Deployment of ground-based instruments, ozonesondes, aircraft and balloons during the European Arctic stratospheric ozone experiment (EASOE)

European contribution to the international Network for Detection of Stratospheric Change (NDSC), which also started in 1991. It also involved three research aircraft (the German DLR Falcon and a Transall of the Air Force, and the French ARAT Fokker) operated from the new Arena Arctica hangar in Kiruna airport, and 22 balloon flights operated by the CNES at ESRANGE. The project also included laboratory chemical studies, a range of models and a central database at the Norwegian Institute for Air Research.


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The EASOE involving about 250 scientists was successful, succeeding in a number of unprecedented observations. The results were discussed at a Second European Workshop in Schliersee in 1993 and published in 1994 in a special issue of the Geophysical Research Letters gathering together 70 papers (Pyle et al., 1994).

1994–1995 SESAME Although many successful observations were performed during EASOE, missing information was on the connection between polar ozone loss and its export to midlatitude, as well as on the pre-winter development of the polar vortex, NOx reduction and chlorine activation. In addition, new or improved instrumentation was developed which could help in understanding the ozone loss mechanism better. A new campaign was then decided, extending on 2 years, the Second European Stratospheric Arctic and Mid-latitude Experiment (SESAME) carried out from January 1994 to April 1995. Compared to EASOE, the ground-based network was extended in latitude and longitude, up to the Lena River in Yakutsk and Zhigansk in Eastern Siberia (Fig. 3), in collaboration with the Central Aerological Observatory in Moscow. Complementing the Arctic flights, the three aircrafts carried out large latitudinal surveys from autumn to spring. A Concorde Zebra shape flight off the coast of Norway was added for studying the evolution of its contrail in the cold vortex. The timing of the ozonesonde ascents at all stations was organised so that they could probe the same air mass along an isentropic trajectory, following the ‘Match technique’. And, in complement to those carried out in Kiruna during the winter, a number of balloon flights were also performed from Andoya in Norway on the west side of the mountain ridge, as well as from Aire-sur-l’Adour and Gap at mid-latitude in France. Totally, 43 balloon flights have been performed including the flight of new instruments such as a high resolution Fourier transform infrared spectroscopy (FTIR), a gas chromatograph, etc. SESAME was also very successful. In the winter of 1995 one of the largest ozone loss was observed in the Arctic, reaching 85 DU between 380 and 550 K according to the 2000 Match ozonesondes at 26 stations, 85 DU also in the same altitude range as estimated from the relative change between ozone and methane profiles of the HALOE-UARS NASA satellite, and 140 DU in total column from the SAOZ ground-based network. SESAME has been scientifically very productive as shown by the 215 presentations at the Third European Workshop in September 1995 (Stratospheric Ozone 1996), and a further 178 at the Fourth in September 1997 (Stratospheric Ozone 1998), both in Schliersee. Moreover 60 papers have been published in the Journal of Atmospheric Chemistry in 1998 and 1999, and a summary of the findings was made available to the Commission in the form of a Scientific Assessment prepared by the Ozone Panel (European research in the stratosphere, 1997).

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Fig. 3 Zhigansk station on the Lena River in Eastern Siberia (Water colour J.P. Pommereau)

1995 GOME-ERS2 In March 1995 the first European satellite instrument GOME (global ozone monitoring experiment) capable of ozone observations was launched (Burrows et al. 1993). GOME was a reduced and simplified version of SCIAMACHY under study for ENVISAT, manufactured rapidly for a flight on the ESA ERS-2 satellite already under construction in 1993. Aside from pictures of the ozone hole complementing those available from the NASA total ozone mapping spectrometer (TOMS), the merit of GOME for stratospheric ozone was the provision of first maps of NO2 and thus of denitrification processes in polar areas, and of OClO, indicative of chlorine activation. GOME operations were continued until 2003 whose measurements contributed to the analysis of the further campaigns.

1997 M55 Geophysica Aircraft Another new platform used by European scientists was the Russian M55 Geophysica high-altitude aircraft proposed by the Myasishev Design Bureau in Moscow. With the support of the European Commission, a European consortium (GEIE)


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Fig. 4 The M55 Geophysica high-altitude aircraft in Kiruna (Courtesy of M.J. Mahoney, Jet Propulsion Laboratory, NASA)

led by the Italian CNR was installed in charge of the preparation of research programmes. After a first campaign in Rovaniemi in Finland in January 1997 (Fig. 4), the aircraft with improved instrumentation was used during a APE-THESEO campaign in Seychelles Island in February 1999 for studying water vapour and clouds in the tropics (Stefanutti et al. 2004), followed by a APE-GAIA campaign from Ushuaia in Argentina in September–October 1999 for flights over Antarctica (Carli et al. 2000).

1998–1999 THESEO The next campaign was THESEO (third European stratospheric experiment on ozone) in 1998–1999. It was oriented towards the better understanding of the causes of observed ozone reduction over Europe and mid-latitudes, that is, relative contribution of export from the pole and local depletion. But for the first time, it included also the tropics, the recognised but little known source of ozone depleting substances of various lifetimes. The ground-based network was extended toward the tropics, e.g. in Brazil, which allowed starting GOME validation at all latitudes. The D-Falcon and F-ARAT Fokker aircraft, joined by a Swiss Learjet equipped with a

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microwave water vapour radiometer, were carrying large latitudinal surveys from the North Pole to the tropics. As already said, the newly available M-55 Geophysica high-altitude aircraft was deployed near the equator in the Seychelles in February 1999. And finally, first balloon flights were carried out in the tropics from Bauru in Brazil, in complement to those performed in Sweden, Norway, France and Spain. The results of THESEO were discussed (180 presentations) at the Fifth European Workshop held in September 1999 in St. Jean de Luz in France (Stratospheric Ozone 1999, 2000). A summary of activities and results of all European campaigns was prepared for the Commission (European research in the stratosphere 1996–2000, 2001).

Fig. 5 The NASA SOLVE and EU THESEO campaigns in Kiruna in winter 2000


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2000 SOLVE-THESEO This was the first joint US–Europe effort for studying the Arctic Ozone Loss (Fig. 5). It was an extension to the winter of 2000 of THESEO after the offer of our NASA colleagues to participate in the validation of the new SAGE II instrument planned for launch in late 1999 on the Russian METEOR satellite, as well as the measurements of all satellites in operation by that time: the NASA TOMS-Earth Probe, SAGE II— Earth Radiation Budget Satellite, HALOE- and MLS-Upper Air Research Satellite, the ESA GOME and the POAM III instrument of the Naval Research Laboratory onboard the French SPOT. The SAGE-METEOR was not launched on time for the campaign, but the decision to carry-on was made since it offered a unique opportunity for joint measurements from a variety of platforms using the best instruments developed of both sides during the last 15 years. Involved on the European side were all ground-based and ozonesondes stations, the German Falcon aircraft, the French Fokker and the newly available Mystere 20 and the Swiss Learjert, and on the NASA side, the ER-2 high-altitude aircraft (Fig. 6) and the DC-8, all based at Arena Arctica in Kiruna airport. The balloon programme also included both the US and European instruments on 25 flights from Kiruna operated by the CNES and NASA-National Scientific Balloon Facility and sometimes combined on the same payload. It also included the first InfraRed Montgolfier long-duration flights in the polar Vortex (Fig. 7).

Fig. 6 The NASA ER-2 high-altitude aircraft at Kiruna airport

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Fig. 7 Twenty-one days InfraRed Montgolfier long-duration balloon flight in the polar vortex in 2000. Top: at launch in Kiruna; Bottom: trajectory


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The unprecedented results of SOLVE-THESEO were discussed later at several joint scientific meetings, at the SOLVE-THESEO 2000 in September 2000 in Palermo in Italy, at the Arctic Ozone Loss workshop in March 2002 in Postdam in Germany, at the Sixth European Workshop in September 2002 in Goteborg in Sweden (Stratospheric Ozone 2002, 2003) and in October 2003 at a SOLVE-Vintersol joint meeting in October 2003 in Orlando in Florida, and finally published in a common SOLVE-THESEO special issue of the Journal of Geophysical Research (Newman et al. 2002).

Concluding Remarks Altogether, the European Arctic Ozone campaigns resulted in significant progress in the ozone science as demonstrated by the thorough contribution of European scientists to the several UNEP-WMO ozone assessment reports. But equally important, they resulted also in building a strong European atmospheric scientific community and the development of powerful experimental and modelling tools of great use for the ongoing Chemistry-Climate research programmes (Ozone climate interactions, 2003) as illustrated by the success of the follow-on HIBISCUS, TROCCINOX and SCOUT-O3 projects in the tropics. Acknowledgements The author thanks the European Commission DG Research and State Members agencies, colleagues of the EC ozone science panel, EORCU and all European, US, Russian and other international scientists with whom it was a pleasure to work during these campaigns.

References Burrows, J. P., Chance, K. V., Goede, A. P. H., Guzzi, R., Kerridge, B. J., Muller, C., Perner, D., Platt, U., Pommereau, J.-P., Schneider, W., Spurr, R. J. D., & van der Woerd, H. (1993). Global Ozone Monitoring Experiment: Interim Science Report, ESA Special Publication 1151, ESA Publication Divisions, Noordwijk, The Netherlands, . Carli, B., Cortesi, U., Blom, C. E., Chipperfield, M. P., De Rossi, G., & Redaelli, G. (2000). Airborne polar experiment Geophysica aircraft in Antarctica (APE-GAIA), SPARC Newsletter, 15: S.21–24. European stratospheric ozone research 1996–97. (1997). EC Air pollution report 59, G. T. Amanatidis and N. R. P. Harris (Ed.), EUR 16987 EN. European research in the stratosphere 1996–2000. (2001). Advances in our understanding of the ozone layer during THESEO, EUR 19867. Newman, P. A., Neil, R. P. Harris, A. Adriani, G. Amanatidis, J. Anderson, et al. (2002). An overview of the SOLVE-THESEO 2000 campaign. J. of Geophys. Research, 107(D20), 10.129/2001JD001303. Ozone–climate interactions. (2003). EC Air pollution report 81, EUR 20623. Pommereau, J. P., & U. Schmidt. (1991). CHEOPS III: An ozone research programme in the Arctic winter 1989/90. Geophys. Res. Lett., 18, 759.

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Pyle, J. A., Harris, N. R. P., Farman, J. C., Arnold, F., Braathen, G., Cox, R. A., et al. (1994). An overview of the EASOE campaign. Geophys. Res. Lett., 21, 1191. SESAME. (1998). Special issue. J. Atmos. Chem., 30. SESAME. (1999). Special issue. J. Atmos. Chem., 32. Stefanutti, L., Mackenzie, A. R., Santacesaria, V., Adriani, A., Balestri, S., Borrmann, S., Khattatov, V., Mazzinghi, P., Mitev, V., Rudakov, V., Schiller, C., Too, G., Volk, C. M., Yushkov, V., Flentje, H., Kiemle, C., Redaelli, G., Carslaw, K. S., Noone, K., & Peter, Th. (2004). The APE-THESEO tropical campaign: An overview. Atm. Chem. Phys., 48, 1–33. Stratospheric ozone (1990). Proc. 1st European workshop, EC Air pollution report 34, J. A. Pyle and N. R. P. Harris (Ed.), ISBN 2-87263-060-0. Stratospheric ozone (1996). Proc. 3rd European workshop, EC Air pollution report 56, J. A. Pyle and N. R. P. Harris (Ed.), ISBN 92-827-5722-6. Stratospheric ozone (1998). Proc. 4th European symposium, EC Air pollution report 66, N. R. P. Harris, I. Kilbane-Dawe, and G. T. Amanatidis (Ed.), EUR 18032, ISBN 92-8282365-2. Stratospheric ozone (2000). Proc. 5th European symposium, EC Air pollution report 73, N. R. P. Harris, M. Guirlet, and G. T. Amanatidis (Ed.), EUR 19340. Stratospheric ozone 2002. (2003). Proc. 6th European symposium, EC Air pollution report 79, Pyle N. R. P. Harris, G. T. Amanatidis, and J. G. Levine (Ed.), EUR 20650.

Operational Monitoring of the Antarctic Ozone Hole: Transition from GOME and SCIAMACHY to GOME-2 Diego Loyola, Thilo Erbertseder, Dimitris Balis, Jean-Christopher Lambert, Rob Spurr, Michel Van Roozendael, Pieter Valks, Walter Zimmer, Julian Meyer-Arnek, and Christophe Lerot

Abstract The European satellite-borne atmospheric sensors global ozone monitoring experiment (GOME), scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) and GOME-2 provide an important global ozone data record covering an expected time span of over 25 years. Accurate measurements of total ozone and other trace gas species have been gathered by GOME (since July 1995) and SCIAMACHY (since June 2002). This record has recently been extended with observations from the first GOME-2 sensor (from March 2007). Two other identical GOME-2 sensors have been built and their future deployment in the next decade will provide global ozone and trace gas data for the next 14 years. The main goal of this chapter is to present results from the monitoring of the Antarctic ozone hole from 1995 to 2007 with these three instruments. Additionally, the algorithms currently used for total ozone retrieval and data assimilation are outlined, together with validation results and perspectives for future developments. Keywords Antarctic ozone hole · total ozone · GOME · SCIAMACHY · GOME-2

D. Loyola (B), P. Valks, and W. Zimmer German Aerospace Center (DLR), Remote Sensing Technology Institute (IMF), PO Box 1116, D-82234 Wessling, Germany e-mail: [email protected] T. Erbertseder and J. Meyer-Arnek German Aerospace Center (DLR), German Remote Sensing Data Center (DFD), PO Box 1116, D-82234 Wessling, Germany D. Balis Aristotle University of Thessaloniki, Box 149, 54124 Thessaloniki, Greece J.-C. Lambert, M.V. Roozendael, and C. Lerot Belgian Institute for Space Aeronomy, 3 Avenue Circulaire, B-1180 Brussels, Belgium R. Spurr RT Solutions, Inc., 9 Channing Street, Cambridge, MA 02138, USA


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Introduction Accurate global ozone records from passive remote sensing observations play a vital role in ozone trend analysis and climate change studies, particularly for monitoring the evolution of the Antarctic ozone hole. Long-term global monitoring of total ozone from satellite-borne UV spectrometers is currently in a transitional phase. The USA initiated their satellite ozone measurements programme in the early 1970s, the SBUV (Solar Backscatter Ultra Violet) and SBUV/2 total ozone record merged by NOAA and NASA dating back to 1978 (Heath et al. 1975; McPeters & Flynn 2004, private communication); the last SBUV/2 instrument is still operational on NOAA satellites. The total ozone record at NASA acquired by four successive total ozone monitoring spectrometer (TOMS) sensor also dates back to 1978 (Bhartia et al. 1984). A new generation of hyperspectral atmospheric sensors has been developed in Europe from the early 1990s. The Global Ozone Monitoring Experiment (GOME) (Burrows et al. 1999) was launched on board ESA’s Second European Remote Sensing Satellite (ERS-2) in April 1995. GOME has been operational since July 1995, although spatial coverage has been limited since July 2003 because of problems with tape storage on ERS-2. SCanning Imaging Absorption spectroMeter for Atmospheric CHartographY (SCIAMACHY) (Bovensmann et al. 1999; Gottwald et al. 2006) is a joint German–Dutch–Belgium contribution to the ENVISAT platform, launched in March 2002, and is currently operational. A higher spatial resolution version of GOME, the ozone monitoring instrument (OMI) spectrometer (Levelt et al. 2006) is a joint Dutch–Finish contribution to NASA’s EOS Aura platform launched in July 2004. EUMETSAT’s new-generation operational ozone instrument is GOME-2: three identical instruments have been built, with the first sensor launched in October 2006 on the first of three MetOp satellites. NASA and NOAA’s new-generation operational ozone instrument is the ozone mapping and profiler suite (OMPS); the first of these is scheduled for launch in 2009 on the NPP (NPOESS Preparatory Project) platform. This chapter is devoted to Antarctic ozone hole monitoring by GOME, SCIAMACHY and GOME-2 observations. Ozone trend analysis requires a long-term, accurate and stable data record: typically, the ability to measure a 1% change in total ozone concentrations globally over a period of about 10 years. Pre-requisites for this kind of analysis are (1) the long-term stability of the three currently operating sensors, and (2) the absence of instrumental drifts in the ozone records over the mission lifetimes. This chapter is organised as follows. First, an overview of the instruments is followed by an outline of the operational ground segment, including the ozone retrieval algorithms and the data assimilation scheme. Second, aspects of ozone validation and long-term monitoring are discussed. Finally, we present a collection of observations characterising the evolution of the Antarctic ozone hole from 1995 to the present day.

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The Instruments GOME/ERS-2 GOME is an across-track nadir-viewing spectrometer; in normal viewing mode, it has three forward scans followed by a back scan. Each forward scan has a footprint size of 320 × 40 km2 for a 1.5-s detector readout integration time. The maximum swath is 960 km, with a nominal scan angle of ±31◦ at the spacecraft, so that global coverage is achieved at the equator within 3 days. There is also a static polar viewing mode for improved sounding of polar latitudes during springtime. GOME has 3,584 spectral channels distributed over four serial-readout detectors; the wavelength range is 240–793 nm, with a moderate spectral resolution of 0.2–0.4 nm. A Pt-Ne-Cr lamp enables in-flight wavelength calibration and a diffuser plate allows for the daily determination of solar irradiance. Furthermore, GOME possesses three broadband (>100 nm). Polarisation Measurement Devices (PMDs) measuring light in a direction parallel to the slit (the PMDs have a footprint size of 20 × 40 km2 ). The PMDs’ main purpose is to generate a polarisation correction for the measured radiances, but they are also used for cloud detection. More details on the GOME instrument may be found in (Burrows et al. 1999). The DLR (German Aerospace Center) is responsible for the generation of the official GOME products as part of ESA’s ERS-2 ground segment. Operational products have been produced and disseminated since August 1996, following the GOME commissioning phase (Loyola 2006). Operational algorithms are updated on a regular basis; the last two updates relevant to ozone retrieval took place in 2000 (GDP 3.0 [Spurr et al. 2005]) and 2004 (GDP 4.0 [Van Roozendael et al. 2006]).

SCIAMACHY/ENVISAT SCIAMACHY is a multi-purpose spectrometer designed to measure sunlight that is transmitted, reflected and scattered by the Earth’s atmosphere or surface in the ultraviolet, visible and near-infrared wavelength regions in eight spectral channels (240–2,380 nm) at a spectral resolution of 0.2–1.5 nm. SCIAMACHY measures in three viewing geometries: nadir, limb and occultation. Like GOME, the nadir-mode swath is approximately 960 km, and it is scanned from east to west in 4 s. The shorter optical integration time of 0.25 s results in a smaller footprint size of 60 × 30 km2 . In a normal operation, the nadir- and limb-viewing modes alternate and consequently achieve a global coverage only at the equator after about 6 days. SCIAMACHY has six broadband Polarisation Measurement Devices (PMDs), covering the wavelength region of 310–2,400 nm. More details on the SCIAMACHY instrument may be found in (Bovensmann et al. 1999; Khattatov 2000). DLR hosts the SCIAMACHY Operations Support Team and is responsible for the generation of the official SCIAMACHY products as part of ESA’s ENVISAT ground segment. The GOME GDP 4.0 algorithm for ozone column retrieval was

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adapted for operational processing of SCIAMACHY UV–Visible (UV–Vis) nadir data in 2006.

GOME-2/MetOp Given the need for routine global-scale monitoring of the abundance, distribution and variability of ozone and associated species, it was decided to include the GOME-2 instrument on the MetOp satellites, the operational EUMETSAT polar orbiting system. The main improvements for GOME-2 compared with GOME are the enhanced spatial coverage, the smaller ground pixel size and more extensive polarisation measurements in two perpendicular planes with better spectral resolution. The GOME-2 field of view may be varied in size from 5 × 40 km to 80 × 40 km (default) for a 0.1875 s readout time. The mode with the largest footprint (i.e. 24 forward steps with a total coverage of 1,920 × 40 km) provides almost daily global coverage at the equator. With heritage from the successful GOME/ERS-2 data processor, the German Aerospace Centre (DLR) has a major role in the design, implementation and operation of the GOME-2 ground segment for total column products. The DLR is a partner in the O3M-SAF (Satellite Application Facility on Ozone and Atmospheric Chemistry Monitoring), which in turn is part of the EPS (EUMETSAT Polar System) ground segment. The DLR is responsible not only for the generation of total column amounts of various trace species but also for the derivation of cloud properties from GOME-2 level 1b products.

Satellite Ground Segment Overview The extraction of geophysical information from GOME, SCIAMACHY and GOME2 follows the classical data-centred approach in remote sensing. Processing takes place at several different levels ranging from Level-0 (raw data at full instrument resolution) to Level-4 (assimilated maps of atmospheric constituents), see Fig. 1. The main goal is the retrieval of geophysical parameters by means of specialised inversion algorithms; this task is the province of the Level 1-to-2 processing step. At higher processing levels, data are converted into convenient formats for assimilation and modelling, and at the same time the data volume is reduced considerably. The next sections summarise the algorithms used in these processing steps.

Radiance Calibration (Level-1) Raw GOME data (Level-0) are converted into ‘calibrated radiances’ (Level-1) by applying a series of calibration algorithms (Loyola et al. 1997) based on the


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Fig. 1 Global ozone monitoring experiment (GOME) ground segment overview: raw data (Level0) sent by the satellite is first converted to calibrated and geolocated radiances (Level-1); trace gases total columns and profiles are retrieved (Level-2); finally, value-added products are generated using a data assimilation system (Level-4)

evaluation of certain calibration parameters. Many of these parameters are determined (in-flight, during the mission) on a regular basis from GOME observations on the dark side of the orbit or from Pt-Cr-Ne-line-lamp measurements, internal LED observations and solar irradiance measurements. Additional parameters were evaluated during the pre-flight calibration phase. All extracted calibration parameters are compiled in a complete ‘calibration database’, which covers the lifetime of GOME. The main calibration steps are: • Signal Corrections: Measured signals are corrected for dark signal using measurements from the dark side of the orbit; crosstalk on the readout bias signal is filtered out. Pixel-to-pixel variations in detector quantum efficiency are corrected using measurements of the uniform spectral output from the internal LED light source. Correction for straylight is carried out using on-ground characterisation. • Spectral Calibration: Wavelengths corresponding to the detector pixels are determined by fitting a polynomial through the pixel positions of spectral lines from the internal Pt-Cr-Ne-line lamp. The spectral calibration varies slightly with instrument temperature; fitted coefficients are catalogued at intervals of 0.1 K. • Radiometric Calibration: The 16-bit binary unit (BU) data of the array detector are transformed into calibrated radiances (units are photons s−1 sr−1 cm−2 nm−1 ) by application of the instrument response function, which includes a correction for scan mirror position. Once a day, GOME observes the sun through an

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on-board diffuser; the resulting calibrated daily solar reference spectrum is used to calculate the earthshine albedo from the measured radiances. • Polarisation Correction: Signals from the PMD detectors, which measure one polarisation component of the incoming light over a broad spectral range, are combined with the main channel data to retrieve atmospheric polarisation fraction. This is used to obtain polarisation correction factors for the calibrated radiances. • Geolocation: At each detector readout the projected field-of-view on the Earth’s surface is calculated (coordinates at the four corners and centre position) using an orbit propagator package. This also provides the viewing angles, and the solar zenith- and azimuth angles at three locations on the ground pixel (both the edges and the centre). • Quality Assessment: A number of checks such as identification of dead pixels, hot pixels, saturation and sun-glint are performed for the sun irradiance and earthshine measurements to assess their quality.

Trace Gases Retrieval (Level-2) The GOME data processor (GDP) is the baseline algorithm for the operational trace gas column retrievals from GOME, SCIAMACHY and GOME-2 (Spurr et al. 2005). The GDP 4.0 (Van Roozendael 2006) uses the Differential Optical Absorption Spectroscopy (DOAS) technique for the generation of total column amounts of ozone, NO2 , BrO, SO2 , H2 O, HCHO and OClO. The algorithm has two major steps: a DOAS least-squares fitting for the trace gas slant column, followed by the computation of a suitable air mass factor (AMF) to convert the slant column into a vertical column density (VCD). GOME cloud information, namely fractional cover, cloud-top height and cloud albedo, is derived directly with the optical cloud recognition algorithm (OCRA) and ROCINN (retrieval of cloud information using neural networks) algorithms (Loyola et al. 2007; Loyola 2006). A schematic representation of the trace gas retrieval algorithms is shown in Fig. 2. A brief summary of the ozone column algorithms is provided in the next sections.

DOAS Slant Column Fitting In DOAS fitting, the basic model is the Beer–Lambert extinction law for trace gas absorbers (Spurr et al. 2005). An external polynomial closure term accounts for broadband effects: molecular scattering, aerosol scattering and absorption and reflection from the Earth’s surface. We also include an additive spectrum for Ring effect interference. The fitting model is then: 3 Iλ (Θ) Y(λ ) ≡ ln 0 = − ∑ Eg (Θ)σg (λ ) − ∑ α j (λ − λ ∗ ) j − αR R(λ ) Iλ (Θ) g j=0

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OCRA and ROCINN: Cloud retrieval routines to calculate cloud fraction, cloud-top height and albedo

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Fig. 2 Overview of the trace gas total column retrieval algorithm. Information about clouds (cloud fraction, cloud-top albedo and cloud-top height) is obtained with the optical cloud recognition algorithm (OCRA) and retrieval of cloud information using neural networks (ROCINN) algorithms. Trace gas slant columns are determined from the DOAS fitting algorithm and converted to vertical column densities through air mass factor (AMFs) computed online with a suitable radiative transfer model

Here, Iλ is the earthshine spectrum at wavelength λ , Iλ0 the solar spectrum, Eg (Θ) the effective slant column density of gas ‘g’ along geometrical path Θ, σg (λ ) is the associated trace gas absorption cross section. The second term in Eq. (1) is the closure polynomial, with λ ∗ a reference wavelength for this polynomial. The last term on the right-hand side of Eq. (1) is the additive term for the Ring reference spectrum R(λ ). The fitting minimises the weighted least squares difference between measured and simulated optical densities Ymeas (λ ) and Ysim (λ ), respectively. The DOAS fitting for GOME total columns achieves greater accuracy when two ozone cross-sections at different temperatures are used as reference spectra (Richter & Burrows 2002). Shift and squeeze parameters may be applied to crosssection wavelength grids to improve wavelength registration against the Level 1 input spectrum. The Ring effect (filling-in of well-modulated solar and absorption features in earthshine spectra) is due to inelastic rotational Raman scattering. In DOAS fitting, it is treated as an additional absorber, by means of an additive Ring reference spectrum and associated scaling parameter (Chance & Spurr 1997), but this does not include a telluric contribution. A new molecular Ring effect correction was developed for GOME total ozone in GDP 4.0. This correction is an ex post facto scaling of the DOAS slant column result, and it is performed at each iteration step in the AMF/VCD calculations. A description of this molecular Ring correction algorithm is given in (Van Roozendael et al. 2006).

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Air Mass Factor and Vertical Column Computations The Air Mass Factor definition that is used in the GDP is the traditional one: log Inog/Ig A= τvert

(2)

where Ig is the radiance for an atmosphere including the particular trace gas as an absorber, Inog is the radiance for an atmosphere without this trace gas and τvert is the vertical optical thickness of this species. To simulate the backscatter radiances Ig and Inog , the multiple scatter multilayer discrete ordinate radiative transfer code LIDORT is used [0]. In GDP 4.0, these radiances are calculated ‘on-the-fly’ using LIDORT Version 2.2 + (Spurr 2003). This model has exact single scatter computations for attenuation along solar and line-ofsight paths in a curved atmosphere, needed for the wide-viewing angles of GOME-2 (scan angles in the range of 40–50◦ ). For GOME scenarios, computation of the vertical column density V proceeds via the relation: V=

E + ΦGAcloud (1 − Φ)Aclear + ΦAcloud

(3)

where E is the DOAS-retrieved slant column, Aclear the clear sky AMF, Acloud the AMF for the atmosphere down to the cloud-top level, the ‘ghost column’ G is the quantity of ozone below the cloud-top height and Φ is the intensity-weighted cloud fraction (Van Roozendael et al. 2006). This formula assumes the independent pixel approximation (IPA) for partially cloudy scenes. AMFs depend on ozone profiles. In traditional DOAS retrievals, the ozone AMF depends on a fixed ozone profile taken from climatology; one application of Eq. (3) yields the VCD. In the iterative approach to AMF calculation, we use columnclassified ozone profile climatology to establish a unique relationship between the ozone profile and its corresponding total column amount (Van Roozendael et al. 2000). The AMF values are now considered to be functions of the VCD through this profile-column relation, and the above formula in Eq. (3) is used to update the VCD value according to: V (n+1) =

E M(n)

(n)

+ ΦG(n) Acloud (n)

(4)

(n)

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(n)

Here, the (n) superscript indicates the iteration number. The AMFs Aclear and Acloud and the ghost column G(n) , depend on the value of VCD V (n) at the nth iteration step. The Ring correction M depends on the total AMF, defined to be Atotal = (1 − Φ)Aclear + ΦAcloud . In this iteration, the slant column reflects the true state of the atmosphere and acts as a constraint on the iteration. Equation (4) is applied repeatedly until the relative change in V (n) is less than a prescribed small number.


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Cloud Algorithms Compared to the average size of clouds, GOME footprints are large and therefore, retrievals are often affected by partially cloudy scenes. In such cases, to avoid truncation of the total column by the tropospheric column of trace species below clouds level, an option is to estimate this so-called ghost column hidden by clouds from climatological trace gas databases. Furthermore, clouds are usually opaque in the GOME spectral range and the cloud-top is then assumed to be the lower Lambertiansurface boundary of the earth–atmosphere system, relative to the top of atmosphere. The cloud fraction, the cloud-top height and cloud-top albedo parameters are needed for the computation of the different terms of Eq. (4). Two algorithms OCRA (optical cloud recognition algorithm) and ROCINN (retrieval of cloud information using neural networks) (Loyola et al. 2007; Loyola 2006) are used for generating GOME cloud information: OCRA for cloud fraction and ROCINN for cloud-top height (pressure) and cloud-top albedo.

Data Assimilation (Level-3–4) Data assimilation is a valuable technique to derive consistent global chemical analyses from asynoptic and heterogeneously distributed satellite-based observations (Daley 1991). Atmospheric chemistry instruments GOME, SCIAMACHY and GOME-2, on polar orbiting satellites ERS-2, ENVISAT and MetOp, respectively, are well suited for providing substantial information on the global variability of total column ozone and the vertical distribution of ozone in the atmosphere. To analyse this variability and the underlying atmospheric processes (e.g. ozone depletion), an appropriate combination of satellite observations with chemistry-transport models is essential. Data assimilation contributes to a better understanding of the chemical composition and dynamics of the middle atmosphere. With regard to the ozone layer in particular, data assimilation allows us: • • • • • • • • •

To carry out synoptic analyses from heterogeneously gathered data To provide forecasts based on satellite observations To derive improved and consistent chemical analyses To gain information on non-observed species and quantities like ClOx , indicating chlorine activation To quantify chemical ozone loss To trace possible inconsistencies in trace gas retrievals To control the quality of Level 2 products by first-guess of assimilation scheme To identify outliers in areas with known problems, such as the Southern Atlantic Anomaly or at the terminator To provide information on accuracy

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The sequential assimilation of chemical-concentration observations from satellitebased instruments into chemistry-transport models has been successfully demonstrated by several studies (Khattatov et al. 2000; Chipperfield et al. 2002; El Amraoui et al. 1997; Baier et al. 2005; Eskes et al. 2002). All these studies use schemes of the Kalman Filter type. Four-Dimensional Variational Assimilation (4DVar) for tropospheric chemistry was introduced by (Elbern & Schmidt 1999; Elbern & Schmidt 2001). The first full stratospheric chemical 4D-var assimilation system based on a CTM was developed and applied to CRISTA data by Errera and Fonteyn (2001). A novel 4D-var data assimilation system for operational application at DLR to stratospheric trace gas observations has been developed recently within the German AFO 2000 project SACADA (Elbern & Schmidt 2001; Erbertseder et al. 2006; Schwinger 2004). Unlike variational assimilation schemes (Erbertseder et al. 2007; Eskes et al. 2002), the sequential method corrects the model first-guess whenever observations are available. In our case the sequential approach is appropriate, since ozone influences the chemistry of the stratosphere significantly. The quality of results from data assimilation modelling depends strongly on the chemical characteristics of the species observed (e.g. their chemical life time). On the other hand, the quality also depends on the magnitude of the errors on the retrieved trace gas observations. Since the supplied error information is often insufficient (i.e. only the precision is specified), empirical adjustments and parameterisations are a pre-requisite (Khattatov et al. 2000; Baier et al. 2005; Menard & Chang 2000). At the German Remote Sensing Data Center at DLR, a sequential assimilation scheme has been used for the assimilation of total ozone column and ozone profile observations from GOME, SCIAMACHY and GOME-2 on a daily basis since 1998. The assimilation system comprises a suboptimal Kalman-Filter (Menard et al. 2000) in conjunction with the stratospheric chemistry-transport model ROSE/DLR. The model is based on a modified and improved version of (Rose & Brasseur 1989) and (Marsh et al. 2001) with focus on stratospheric chemistry. All relevant stratospheric chemical gas-phase processes as well as heterogeneous processes on sulphuric acid and polar stratospheric clouds (PSCs) are considered (Baier et al. 2005). The sequential assimilation scheme follows optimum interpolation of first-guess minus observation residuals with Kalman-Filter-like covariance diagnostics and propagation of model errors. Only the diagonal elements of the fully-fledged background covariance matrix are evaluated. The method is fast and generates the derivation of background error covariances by repeated analysis cycles. Optimised assimilation parameters are derived using χ2 diagnostics (Menard & Chang 2000). The resulting products not only comprise chemical analyses of ozone and related species but also error statistics such as observation minus first-guess error, observation minus analysis error and the analysed error itself. The analysed error is treated as a quasitracer and is continuously corrected for chemistry with each forward integration step (Baier et al. 2005). It is a transparent and quantitative measure of the influence and weighting between satellite-based observation andmodel. The root-mean-square


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error of the total ozone analysis compared to ground-based measurements is generally lower than 3%.

Ozone Validation and Long-Term Monitoring Validation of Satellite Measurements Quality assessment of the GOME/SCIAMACHY/GOME-2 products is carried out with a continuous geophysical validation using correlative measurements from ground-based networks contributing to World Meteorological Organisation (WMO’s) Global Atmosphere Watch (GAW) programme and from other satellites, as well as frequent verification against independent retrievals with the prototype code. The verification concentrates on assessing the consistency of ozone slant columns, ozone AMFs and ozone VCDs. Based on correlative data acquired by over 40 Brewer instruments, some 60 Dobson instruments and 25 DOAS spectrometers, an extensive geophysical validation of the GDP 4 GOME total ozone product (Balis et al. 2007) shows that the agreement with ground-based data is often at the 1–1.5% level or better for SZA up to 80◦ and latitudes up to 60◦ . In Polar Regions and for scenarios with higher SZA values, correlative ozone values usually are underestimated by GDP 4 by about 4% on average. GOME data processed with the operational GDP 4 algorithm show a seasonal dependence when compared with ground-based data. This dependence is in phase with the seasonal variation of the stratospheric temperatures and is more pronounced in the Dobson comparisons, see Fig. 3. It was found that a large part of the observed seasonal differences between GDP 4 and the ground-based measurements could be attributed to characteristics of the ground-based retrieval algorithms rather than to aspects of the GDP 4 algorithm (Balis et al. 2007). Initial validation of GOME-2 data processed with GDP 4.2 shows that GOME-2 underestimates ozone by almost 2% over the middle latitudes of both hemispheres

Fig. 3 Latitude dependence (left panel) of the percent differences between global ozone monitoring experiment (GOME) and ground-based measurements examined separately for GDP 3 and GDP 4 versus Dobson and Brewer network measurements. Time-latitude cross section (right panel) of the percent differences between GDP 4 and Dobson measurements from 1995 to 2004

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when compared with Dobson measurements (Balis et al. 2007). Over high latitudes and over the tropics, GOME-2 overestimates Dobson readings by 1–2%. Over the middle latitudes of the NH, where also GOME-1 data are available, the corresponding GOME-1 comparisons show a similar latitudinal dependence, however, with an offset close to zero.

GOME Long-Term Stability UV–Vis optical satellite-borne sensors such as GOME show a marked degradation with time (Coldewey – Egbers et al. 2008). The top panel of Fig. 4 presents the GOME relative intensity in the ozone fitting window (325–335 nm) from 1997 to 2006. The intensities are normalised to the 1996 values. a

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Fig. 4 Global ozone monitoring experiment (GOME) intensity degradation (top panel) from 1997 to 2006. The measurements are normalised to the January 1996 values. The ozone record is remarkably stable despite the instrument degradation. Seasonal variation (bottom panel) in the monthly mean percent differences between GOME and the DWD Brewer #10 total ozone values at Hohenpeissenberg, over a 10-year period starting in July 1995


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The DOAS algorithm uses ratios of solar and earthshine spectra; it is not sensitive to absolute radiometric calibration and therefore insensitive to this kind of degradation. The upper panel of Fig. 4 shows the relative intensity degradation of GOME taking as reference data from January 1996. The relative degradation in the UV is very strong reaching values of 0.4 in 2006 for the ozone-fitting window (325–335 nm). The bottom panel of Fig. 4 shows a sinusoidal fit to the GOME and Brewer ozone differences (thick black line) that indicates a seasonal variation with an amplitude of 0.5% and a mean bias over the 10-year time period of only 0.3%. Ground-based validation has also confirmed this 10-year stability of GOME data for other species like nitrogen dioxide and bromine monoxide (Balis et al. 2007).

Overlap Between GOME, SCIAMACHY and GOME-2 The overlap periods between GOME, SCIAMACHY and GOME-2 allow us to assess the stability of the ozone record as produced by these instruments. The current daily coverage of the three instruments is quite different; see Fig. 5. After the failure of the ERS-2 tape recorder in June 2003, GOME measurements have been limited to the northern hemisphere and the Antarctic. SCIAMACHY achieves global coverage every 6 days with the alternating nadir- and limb-viewing modes. GOME-2 almost reaches global coverage on a daily basis.

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Fig. 5 Daily coverage of the global ozone monitoring experiment (GOME), scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) and GOME-2 sensors for April 6, 2007. The number of individual ground pixels is indicated just right and below the sensor images

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A recent comparison of GOME-2 with GOME, SCIAMACHY and OMI ozone measurements (Balis et al. 2007) has demonstrated the excellent agreement between these instruments. The ozone average difference between GOME-2 and GOME/SCIAMACHY/OMI is −1.04%, −0.81% and −1.53%, respectively. The total ozone monthly mean in the extra-polar regions, 60◦ N to 60◦ S, from July 2005 to October 2007 is shown in the upper panel of Fig. 6. The green line corresponds to data from the coupled chemistry-climate model E39/C (Dameris et al. 2006). The red line denotes merged ground-based and satellite data (other than GOME and SCIAMACHY) as used in the WMO ozone assessment (WMO/UNEP 2006). The overlap between GOME and SCIAMACHY reveals a difference in the monthly mean total ozone of the order of 4%. The monthly mean ozone values from SCIAMACHY and GOME-2 agree closely. The monthly mean total ozone anomaly for the 8-year GOME period is depicted in the bottom panel of Fig. 6. GOME shows a positive anomaly of 1.71% and this

Fig. 6 Total ozone monthly mean in the extra-polar regions from July 1995 to October 2007 from different data records (top panel): satellite measurements from global ozone monitoring experiment (GOME) (blue), scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) (cyan) and GOME-2 (violet), the coupled chemistry-climate model E39/C (green) and the merged ground-based and satellite ozone data set used for the World Meteorological Organisation (WMO) ozone assessment (red). The ovals highlight the overlap regions between GOME and SCIAMACHY and between SCIAMACHY and GOME-2. The corresponding ozone monthly mean anomaly is shown in the bottom panel


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Fig. 7 Zonal mean record of total ozone obtained from global ozone monitoring experiment (GOME), scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) and GOME-2 data from April 1995 to December 2007

is very similar in value to the E39/C anomaly of 2.01% and WMO data set anomaly of 2.06%. The apparent increase is partially explained by changes in tropospheric and stratospheric meteorology in the northern hemisphere and the near constancies of stratospheric ozone-depleting gases (WMO/UNEP 2006). Despite this apparent enhancement, the average ozone total column away from the Polar Regions in the 1995–2007 period remains at about 3% below pre-1980 values. Figure 7 demonstrates the coverage and consistency of the record of zonal mean total ozone obtained from GOME, SCIAMACHY and GOME-2 observations. In contrast to the high inter- and intra-annual variability and superimposed trends in the mid- to polar latitudes, the tropics exhibit a low variability and hardly any trend. Therefore, the tropics are best suited for investigating the overlap and transition periods between the different instruments. The significant yearly thinning of the ozone layer in Antarctic spring (September to November) can clearly be identified. The zonal mean record allows us to quantify the depth, latitudinal extent and duration of the Antarctic ozone hole. Furthermore, this record facilitates the identification and comparison of notable events such as the strong ozone hole in 2006 and the anomalously weak one in 2002.

Ozone Hole Monitoring Quality of Satellite Measurements in the Antarctic GOME total ozone observations are regularly validated against ground-based measurements at about 15 stations located in different regions of the Antarctic continent and its surroundings. These stations are also used by WMO for its Antarctic regular ozone bulletins (WMO Antarctic Ozone Bulletin 2006/8; WMO Antarctic Ozone Bulletin 2007/4), which rely also on the analysis of GOME/SCIAMACHY/GOME2 data. Comparisons of observations in this region are more challenging due to inhomogeneous air masses measured by the different instruments, higher variability

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on a short temporal scale and larger error bars on both satellite and ground-based measurements. But in counterpart, the Antarctic ozone hole offers a much wider range of atmospheric conditions valuable to test the sensitivity of the GOME measurement and of the retrieval algorithms to atmospheric parameters such as the vertical distribution of temperature and ozone, the presence of stratospheric aerosols of PSC type, the ozone slant column. Earlier versions of GDP made significant overestimations of low ozone column values (below 200 DU) observed during Antarctic springtime as well as notable SZA dependences. Thanks to a better calculation of the AMF in case of depleted ozone profile, and the use of improved climatologies for the estimation of the ghost column hidden by clouds, the GDP upgrade to version 3 resulted in a significant reduction of this overestimation to the 5% level, even for very low column values (below 130 DU) (Lambert 2002). The GDP 4 upgrade reduced the SZA dependences to the 5% level and generated an increase of the ozone column value by about 3% over the entire ozone column range, thus there was no perceptible change in the already low ozone column dependence (Balis et al. 2007). The top panel of Fig. 8, which shows the time series of the monthly mean differences between GOME and Dobson total ozone data at Faraday/Vernadsky (65◦S), illustrates the residual ozone column dependence at very low ozone column values. The lower panel of Fig. 8, which shows the time series of the monthly mean differences between GOME and GOME-2, and the corresponding Dobson measurements at Syowa (69◦ S), illustrates the mean overestimation.

Ozone Hole Evolution The size, morphology and depth of the Antarctic ozone hole (defined to be the region with ozone total column below 220 DU) from 1995 to 2007 has been monitored by means of the continuous assimilation of total ozone observations from the GOME, SCIAMACHY and GOME-2 instruments. Figure 9 shows the mean total ozone distribution over Antarctica for September, for the period 1995–2007. Despite some similarity in the distribution, the year-to-year variability is evident; this results mainly from different dynamical conditions. Roughly speaking, the dynamics control the preconditions for efficient ozone depletion through the formation of a polar vortex with associated cold temperatures. The efficiency of the chemical ozone depletion depends on temperature-driven processes on the surface of polar stratospheric clouds (PSCs), and the abundance of anthropogenic halogen compounds. The year-to-year variability ranges from the largest observed ozone hole in 2000, (‘cold’ conditions) to the smallest in 2002 (‘warm’ conditions). In 2000, an undisturbed polar vortex provided the perfect preconditions for the development of an ozone hole of ‘record size’ of about 29 million square kilometres (different instruments give slightly different numbers) (WMO Antarctic Ozone Bulletin 2006/8). In 2002, ozone depletion was suddenly halted because of an unusually early major


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Fig. 8 1995–2005 time series of the global ozone monitoring experiment (GOME) and BAS/UAC Dobson #31 total ozone values (left panel, upper plot) and corresponding percent relative differences (left panel, lower plot) at Faraday/Vernadsky (65◦ S, 64◦ W). Time series (right panel) of the monthly mean percent differences between GOME and GOME-2 against the JMA’s Dobson #122 total ozone values at Syowa (69◦ S, 40◦ E)

warming on September 25 with a concomitant break-up or split of the polar vortex. Ozone-rich air masses were advected towards Antarctica and therefore the monthly mean distribution shows an exceptional morphology and higher overall total ozone amounts. The 2007 ozone hole is somewhat weaker than the ones of 2000, 2005 and 2006, but stronger than those of 2002 and 2004. Otherwise, it looks very similar, both in terms of depth and size, to most ozone holes of the previous 12 years (WMO Antarctic Ozone Bulletine 2007/4). Due to the high inter-annual variability, a clear trend of ozone-hole recovery cannot clearly be identified at this stage. Figure 10 depicts the monthly mean ozone distribution; however, the data assimilation scheme allows us to monitor the ozone hole size or area on a daily basis. Figure 10 also shows the daily ozone hole size for each year from 1995 to 2006

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Fig. 9 Monthly mean total ozone for September based on assimilated observations from the satellite instruments global ozone monitoring experiment (GOME) (1995–2002), scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) (2003–2006) and GOME-2 (2007) 30

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Fig. 10 Size of the Antarctic ozone holes (ozone total column below 220 DU) from 1995 to 2006, as derived from assimilated global ozone monitoring experiment (GOME) and scanning imaging absorption spectrometer for atmospheric chartography (SCIAMACHY) data

derived from GOME and SCIAMACHY observations. The contrasting characteristics of the 2000 and 2002 ozone holes can clearly be identified. Although the ozone hole in 2000 was the largest ever observed, the ones from 2003 and 2006 were similar in size (WMO Antarctic Ozone Bulletin 2006/8).


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Fig. 11 Size of the 2007 ozone hole (red line) compared with the average size for the previous 12 years (black). [The region in grey denotes the one-sigma standard deviation]. For the first time, the ozone hole was monitored with GOME-2

In 2007, the ozone hole was observed for the first time by the new GOME-2 instrument. Initial validation of GOME-2 ozone data by ground-based measurements has confirmed the high quality of the satellite data (Balis et al. 2007). As part of the EUMETSAT project AGORA, the GOME-2 ozone observations are operationally assimilated through the scheme described above (Erbertseder et al., 2006). Figure 11 presents the evolution of the size of the 2007 ozone hole versus the average of the last 12 years (see Fig. 10). In 2007, the Antarctic ozone hole reached its maximum size in mid-September, with an area twice the size of Europe. Assimilated GOME-2 data show no evidence of a significant recovery of the ozone layer (Fig. 11 and Fig. 12). Figure 12 (top panels) shows the ozone distribution for four separate dates as indicated. In mid-September 2007, the size of the ozone hole started a strong reversal (red curve in Fig. 11). This was caused by unusual meteorological conditions in the south polar stratosphere. An unusually high planetary wave activity resulted in extremely ozone-deficient air masses being transported from polar to middle latitudes from 10 to 15 September (see Fig. 12). There, they contributed to the thinning of the ozone layer, especially over the South Atlantic and South America. At the same time, this meteorological situation led to a massive increase in the ozone layer over Australia up to 20 September. As a consequence, a strong wave number-1 with maximum over Australia can be identified. During this period of dynamical movements, the area for ozone hole conditions continued to shrink, and the ozone hole reached its minimum size on 20 September. Analyses for the last days in September indicate a return to the ‘normal’, symmetrical shape of the polar vortex. However, the size of the ozone hole in 2007 was slightly below average, thanks largely to this unusual dynamical circumstance. Figure 12 also shows the rate of daily ozone change due to chemical processes in the southern hemisphere at the isobaric level of 56 hPa for the same four dates. One

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Fig. 12 The 2007 ozone hole monitored by assimilated GOME-2 observations on 15 September, 20 September, 10 October, 30 October (left to right). Top row: Total ozone analysis for 12 UTC for the given dates [Dobson Units]. Middle row: Chemical ozone loss per day for these dates, at the isobaric level of 56 hPa [ppbv]

can see that the dark blue region, which represents the fastest ozone loss, covers the largest area on 15 September; and that by 10 October the ozone depletion has almost come to a halt. In addition, active chlorine (ClO) is displayed for the same days at the isobaric level of 56 hPa (bottom panel). Values are given for constant local time, that is, the overpass time of GOME-2. ClO corresponds well with the chemical ozone change rates: it shows the zonal symmetric distribution on 10 September, a wave number-2 influenced shape on 20 September and a strong decay of active chlorine until the end of October.


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Summary and Outlook The European satellite-borne atmospheric sensors GOME, SCIAMACHY and GOME-2 perform operational monitoring of the ozone layer in general and the Antarctic ozone hole in particular. They have provided (and will continue to do so) an accurate and consistent trace gas record from 1995 to 2020. In this chapter the results from the monitoring of the Antarctic ozone hole from 1995 to 2007 with these three instruments are discussed. The algorithms currently used for total ozone retrieval and data assimilation were briefly described, and validation results were presented. Data assimilation of these satellite-based observations has proven to be a valuable tool to monitor the size, morphology and evolution of the Antarctic ozone hole. Due to the high inter-annual variability, however, a clear trend of ozone-hole recovery cannot clearly be identified at this point in time. Latest GOME-2 near-real time maps and animations of total ozone, other trace gases and cloud information as well as daily chemical analyses and forecasts of ozone and related parameters such as chemical ozone loss or chlorine activation are available online at the WDC/RSAT (World Data Center for Remote Sensing of the Atmosphere) in DLR http://wdc.dlr.de/sensors/gome2 The GDP ozone retrieval algorithm will continue to benefit from upgrades. The next upgrade to GDP 5.0 will be ready for operational processing in 2008. This processing system will be based on the GODFIT algorithm (Van Roozendael et al. 2004). This is a one-step algorithm that does not rely on the DOAS division into slant column fitting based on Beer’s law, plus an AMF conversion to vertical total amount. Instead, the GOME total ozone is fitted directly by means of a non-linear iterative least-squares inversion. All Earthshine radiances within the UV ozone Huggins bands fitting window are simulated in real time with a radiative transfer model (Spurr 2003), which also delivers analytic weighting functions (partial derivatives with respect to total ozone and other elements in the retrieval state vector). As part of the retrieval process, effective surface properties are also derived using an internal albedo closure approach. In comparison to previously used DOAS approaches, GODFIT allows more accurate fitting of GOME radiances in particular under low sun conditions. The GODFIT algorithm has been successfully validated, and shows a noticeable improvement in Polar Regions. The current cloud model in GDP is based on the assumption of clouds treated as opaque Lambertian reflectors. This ignores the ‘intra-cloud’ ozone effect, and studies have shown that use of this model leads to overestimates of total ozone (Liu et al. 2004). A study is now under way to implement clouds as layers of scattering particles in the radiative transfer modelling in the trace gas and cloud pre-processing algorithms, with the aim to further improve the overall accuracy of the GDP product though better cloud modelling. Currently, the operational data assimilation processor for monitoring the Antarctic ozone hole is upgraded by the 4D-Var assimilation system SACADA (Erbertseder et al. 2006; Schwinger 2004). Chemical observations of GOME-2 are routinely assimilated. The German Weather Service’s global forecast model (GME) with its

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icosahedral discretisation scheme serves as an online meteorological driver for the GCCM. First comparisons to other assimilation schemes indicate that the 4D-Var system delivers in general more accurate results especially for reactive chemical constituents. Acknowledgments We would like to thank the scientists of a number of institutions in Europe and America who have made contributions to the GOME/SCIAMACHY/GOME-2 data processing effort. In particular, we would like to thank colleagues from University of Bremen (Germany), KNMI (Netherlands), University of Heidelberg (Germany), BIRA-IASB (Belgium), DLR (Germany), SAO (USA), SRON (Netherlands), NASA Goddard (USA), RAL (Great Britain), AUTH (Greece) and NOAA (USA). We would also like to thank colleagues from the agencies: ESA-ESTEC (Netherlands), ESA-ESRIN (Italy) and EUMETSAT (Germany). Thanks to ESA for providing the GOME and SCIAMACHY raw data, to EUMETSAT for providing the GOME-2 level 1b data, to M. Dameris (DLR) for the E39/C model data and to A. Smith (NCAR) and D. Marsh (NCAR) for providing the original NCAR-ROSE model code and related updates. Ground-based data used for satellite total ozone validation have been acquired as part of WMO’s GAW programme and its contributing Network for the Detection of Atmospheric Composition Change (NDACC), and are publicly available (see www.woudc.org and www.ndacc.org). The GOME, SCIAMACHY and GOME-2 teams are grateful to the responsible institutes and staff at the stations for their sustained effort in maintaining high-quality measurements and for their long-lasting support to satellite validation. In particular, German Weather Service (DWD), British Antarctic Survey (BAS) and Japan Meteorological Agency (JMA) are acknowledged for the ground-based data used in Figs. 4 and 8.

References Baier, F., Erbertseder, T., Morgenstern, O., Bittner, M., & Brasseur, G. (2005). Assimilation of MIPAS observations using a three-dimensional global chemistry-transport model. Quarterly Journal of the Royal Meteorological Society 131(613), 3529–3542, doi: 10.1256/qj.05.92. Balis, D., Lambert, J. C., van Roozendael, M., Spurr, R., Loyola, D., Livschitz, Y., et al. (2007). Ten years of GOME/ERS-2 total ozone data: The new GOME Data Processor (GDP) Version 4: II. Ground-based validation and comparisons with TOMS V7/V8. Journal of Geophysical Research, 112, D07307, doi: 10.1029/2005JD006376. Balis, D., Koukouli, M., Loyola, D., Valks, P., & Hao, N. (2007). Validation of GOME-2 total ozone products (OTO/O3, NTO/O3) processed with GDP 4.2, AF/O3M/AUTH/GOME-2VAL/RP/01. Retrieved from http://wdc.dlr.de/sensors/gome2 Bhartia, P. K., Klenk, K. F., Wong, C. K., Gordon, D., & Fleig, A. J. (1984). Intercomparison of the Nimbus-7 SBUV/TOMS total ozone data sets with Dobson and M83 results. Journal of Geophysical Research, 89, 5239–5247. Bovensmann, H., Burrows, J., Buchwitz, M., Frerick, J., Noel, S., Rozanov, V., et al. (1999). SCIAMACHY: Mission objectives and measurement modes. Journal of the Atmospheric Science, 56, 127–150. Bramstedt, K., Gleason, J., Loyola, D., Thomas, W., Bracher, A., Weber, M., et al. (2003). Comparison of total ozone from the satellite instruments GOME and TOMS with measurements from the Dobson network 1996–2000. Atmospheric Chemistry and Physics, 3, 1409–1419. Burrows, J., Weber, M., Buchwitz, M., Rozanov, V., Ladstätter-Weißenmayer, A., Richter, A., et al. (1999). The Global Ozone Monitoring Experiment (GOME): Mission concept and first scientific results. Journal of the Atmospheric Science, 56, 151–175.


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Chance, K., & Spurr, R. (1997). Ring effect studies: Rayleigh scattering including molecular parameters for rotational Raman scattering, and the Fraunhofer spectrum. Applied Optics, 36, 5224–5230. Chipperfield, M. P., Khattatov, B. V., & Lary, D. J. (2002). Sequential assimilation of stratospheric chemical observations in a three-dimensional model. Journal of Geophysical Research, 107, doi: 10.1029/2002JD002110. Coldewey-Egbers, M., Slijkhuis, S., Aberle, B., & Loyola, D. (2008). Long-term monitoring of GOME in-flight calibration parameters and instrument degradation. Applied Optics, 47(26), 4749–4761. Daley, R. (1991). Atmospheric data analysis. New York: Cambridge University Press. Dameris, M., Matthes, S., Deckert, R., Grewe, V., & Ponater, M. (2006). Solar cycle effect delays onset of ozone recovery. Geophysical Research Letters, 33, L03806, doi: 10.1029/2005GL024741. El Amraoui, L., Ricaud, P., Urban, J., Theodore, B., Hauchecorne, A., Lauti, J., et al. (1997). Assimilation of Odin/S MR O3 and N2O measurements in a three-dimensional chemistry transport model. Journal of Geophysical Research, 109, D22304, doi: 10.1029/2004JD004796. Elbern, H., & Schmidt, H. (1999). A four-dimensional variational chemistry data assimilation scheme for Eulerian chemistry transport modelling. Journal of Geophysical Research, 104(D15), 18583–18598, doi: 10.1029/1999JD900280. Elbern, H., & Schmidt, H. (2001). Ozone episode analysis by four-dimensional variational chemistry data assimilation. Journal of Geophysical Research, 106(D4), 3569–3590, doi: 10.1029/2000JD900448. Erbertseder, T., Baier, F., Meyer-Arnek, J., Elbern, H., Schwinger, J., & Loyola, D. (2006, May). Assimilation of METOP/GOME-2 and IASI chemical observations (Paper presented at the METOP RAO Workshop, ESA/ESRIN, Frascati). Erbertseder, T., Baier, F., Errera, Q., Viscardy, S., Schwinger, J., & Elbern, H. (2007, April). The PROMOTE ozone profile service – long-term 3d ozone reanalysis of ERS-2 and ENIVSAT data sets (Paper presented at the ESA ENVISAT Symposium, Montreux, Switzerland, ESA publication SP-636, 23–27). Errera, Q., & Fonteyn, D. (2001). Four-dimensional variational chemical data assimilation of CRISTA stratospheric measurements. Journal of Geophysical Research, 106(D11), 12253– 12265, doi: 10.1029/2001JD900010. Eskes, H. J., van Velthoven, P. F. J., & Kelder, H. M. (2002). Global ozone forecasting based on ERS-2 GOME observations, Atmospheric Chemistry and Physics, 2, 271–278. Gottwald, M., Bovensmann, H., Lichtenberg, G., Noel, S., von Bargen, A., Slijkhuis, S., et al. (2006). SCIAMACHY, Monitoring the Changing Earth’s Atmosphere. Published by DLR, Germany. Heath, D. F., Krueger, A. J., Roeder, H. R., & Henderson, B. D. (1975). The solar backscatter ultraviolet and total ozone mapping spectrometer (SBUV/TOMS) for Nimbus-G, Optical Engineering, 14, 323–331. Khattatov, B. V., Lamarque, J. F., Lyjak, L. V., Menard, R., Levelt, P., Tie, X., et al. (2000). Assimilation of satellite observations of long-lived chemical species in global chemistry transport models. Journal of Geophysical Research, 105(D23), 29135–29144, doi: 10.1029/2000JD900466. Lambert, J. C. (Ed.) (2002). ERS-2 GOME GDP3.0 Implementation and Delta Validation Report for GOME Level-1-to-2 data processor Upgrade to Version 3.0, ESA Tech. Note ERSE-DTEXEOAD-TN-02–0006, European Space Agency, Paris. Levelt, P. F., van den Oord, G. H. J., Dobber, M. R., Malkki, A., Visser, H., de Vries, J., et al. (2006). The ozone monitoring instrument. IEEE Transactions on Geoscience and Remote Sensing, 44(5), 1093–1101. Liu, X., Newchurch, M., Loughman, R., & Bhartia, P. K. (2004). Errors resulting from assuming opaque Lambertian clouds in TOMS ozone retrieval. Journal of Quantitative Spectroscopy and Radiative Transfer, 85, 337–365.

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Loyola, D. (2006). Applications of neural network methods to the processing of earth observation satellite data. Neural Networks, 19(2), 168–177. Loyola, D., Balzer, W., Aberle, B., Bittner, M., Kretschel, K., Mikusch, E., et al. (1997, May). Ground Segment for ERS-2/GOME Sensor at the German D-PAF (Paper presented at the 3rd ERS Scientific Symposium, Florence, Italy, 591–596). Loyola, D., Thomas, W., Livschitz, Y., Ruppert, T., Albert, P., & Hollmann, R. (2007). Cloud properties derived from GOME/ERS-2 backscatter data for trace gas retrieval, IEEE Transactions on Geoscience and Remote Sensing, 4(9), 2747–2758. Marsh, D., Smith, A., Brasseur, G., Kaufmann, M., & Grossman, K. (2001). The existence of a tertiary ozone maximum in the high-latitude middle mesosphere. Geophysics Research Letters, 28(24), 4531–4534, doi: 10.1029/2001GL013791. Menard, R., & Chang, L. P. (2000). Assimilation of stratospheric chemical tracer observations using a Kalman Filter. Part II: χ 2 validated results and analysis of variance and correlation dynamics. Monthly Weather Review, 2654–2671. Menard, R., Cohn, S. E., Chang, L. P., & Lyster, P. M. (2000). Stratospheric assimilation of chemical tracer observations using a Kalman Filter. Part I: Formulation. Monthly Weather Review, 2654–2671. Richter, A., & Burrows, J. (2002). Tropospheric NO2 from GOME measurements. Advances in Space Research, 29, 1673–1683. Rose, K., & Brasseur, G. (1989). A three-dimensional model of chemically active trace species in the middle atmosphere during disturbed winter conditions. Journal of Geophysical Research, 94, 16387–16403, doi: 10.1029/89JD01092. Van Roozendael, M., Lambert, J.-C., Spurr, R. J. D., & Fayt, C. (2004). GOME Direct Fitting (GODFIT) GDOAS Delta Validation Report, ERS Exploitation AO/1–4235/02/I-LG. Van Roozendael, M., Loyola, D., Spurr, R., Balis, D., Lambert, J. C., Livschitz, Y., et al. (2006). Ten years of GOME/ERS-2 total ozone data: The new GOME Data Processor (GDP) Version 4: I. Algorithm Description. Journal of Geophysical Research, 111, D14311, doi: 10.1029/2005JD006375. Schwinger, J. (2004). Four-dimensional variational data assimilation for estimation of the atmospheric chemical state from the tropopause to the lower mesosphere. Dissertation, Universität zu Köln. Spurr, R. (2003). LIDORT V2PLUS: A comprehensive radiative transfer package for nadir viewing spectrometers, remote Sensing of clouds and atmosphere, (Paper presented at the SPIE conference 5235, Barcelona, Spain). Spurr, R. (2008). LIDORT and VLIDORT: Linearized pseudo-spherical scalar and vector discrete ordinate radiative transfer models for use in remote sensing retrieval problems. In A. Kokhanovsky (Ed.), Light scattering reviews, Volume 3 (pp. 229–271). Berlin: Springer. Spurr, R. J. D., Kurosu, T. P., & Chance, K. V. (2001). A Linearized discrete ordinate radiative transfer model for atmospheric remote sensing retrieval, Journal of Quantitative Spectroscopy & Radiation Transfer, 68, 689–735. Spurr, R., Loyola, D., Thomas, W., Balzer, W., Mikusch, E., Aberle, B., et al. (2005). GOME level 1-to-2 data processor version 3.0: A major upgrade of the GOME/ERS-2 total ozone retrieval algorithm. Applied Optics, 44(33), 7196–7207. WMO/UNEP Scientific Assessment of Ozone Depletion. (2006). Retrieved from http://www.wmo. int/pages/prog/arep/gaw/ozone 2006/ozone asst report.html. WMO Antarctic Ozone Bulletin, 2006/8. Retrieved from http://www.wmo.ch/pages/prog/arep/ documents/ant-bulletin-8–2006.pdf. WMO Antarctic Ozone Bulletin, 2007/4. Retrieved from http://www.wmo.ch/pages/prog/arep/ documents/ant-bulletin-4–2007-v5.pdf.

An Overview of Strategic Ozone Sounding Networks: Insights into Ozone Budgets, UT/LS Processes and Tropical Climate Signatures Anne M. Thompson

Abstract Ozone soundings serve to integrate models, aircraft and ground-based measurements for better interpretation of atmospheric losses (stratosphere) and pollution (troposphere). A well-designed network of ozonesonde stations answers questions that cannot be solved by short campaigns or current satellite technology. The Match campaign (Rex et al. 1998) was designed specifically to follow ozone depletion within the polar vortex; the standard sites are at middle to high northern hemisphere latitudes. Short-term strategic networks operated over North America in July–August 2004 within the ICARTT/INTEX-A/NEAQS (International Consortium on Atmospheric Research on Transport and Transformation/Intercontinental Chemical Transport Experiment/New England Air Quality Study) and during the 2006 INTEX-B (INTEX Ozonesonde Network Study (http://croc.gsfc.nasa.gov/ intexb/ions06.html) and TEXAQS/GOMACCS (Texas Air Quality Study/Gulf of Mexico Atmospheric Composition and Climate Study). A global network designed to address questions about ozone in the equatorial zone, SHADOZ (Southern Hemisphere Additional Ozonesondes; http://croc.gsfc.nasa.gov/shadoz), has operated since 1998 in partnership with NOAA, NASA and the Meteorological Services of host countries (Thompson et al. 2003a, b). Examples of findings from these networks are described. Keywords Ozonesondes · ozone trends · sonde networks · stratosphere– troposphere · tropical climatology

Introduction Ozone soundings have been taken for 50 years or so and their profiles of ozone loss in the lower stratosphere over Antarctica are crucial to the definition of the ozone hole (Hoffman et al., this Symposium). However, what I call strategic ozonesonde networks were designed to answer specific questions about ozone chemistry and A.M. Thompson The Pennsylvania State University, Department of Meteorology, University Park, PA 16802, USA e-mail: [email protected]


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dynamics. Three networks are described here, one each for high-latitudes, midlatitudes and the tropics. First mentioned is Match, a project to track Arctic stratospheric ozone loss starting in the early 1990s (Rex et al. 1998; Harris et al. 2002; Streibel et al. 2005). The tropical network, SHADOZ (Thompson et al. 2003a), and mid-latitude IONS, that operated in 2004 and 2006 (Thompson et al. 2007a), were framed to evaluate processes vital for understanding stratospheric and tropospheric ozone. The newer networks have been designed in a deliberate framework of integrated observations. This is a legacy of the cooperative science fostered by the Montreal Protocol as well as the coming together of advanced satellites, models and elaborately designed aircraft missions. These latter systems are described elsewhere in this book (by Pyle, Burrows, Hoffman, Kurylo, Solomon). The results of the sonde networks have extended beyond their original motivations. The newer scientific findings complement the longer-term objective of ozone monitoring throughout the planet, with the most compelling discoveries occurring at the interface of ozone chemistry and climate change.

High-Latitude Network (Match) Ozone loss over Antarctica can be estimated readily from the satellite because the features and regions covered by the springtime ozone hole are large and persistent. See, for example, Chapter 4 in Scientific Assessment of Ozone Depletion: 2006 (WMO 2006). For ozone loss over the Arctic vortex, the Match network was assembled during the 1991–1993 European Arctic Stratospheric Ozone Experiment (EASOE) campaigns (Von der Gathen et al. 1995; Rex et al. 1998) because there was already substantial coverage of mid- and high-latitude sounding stations in the northern hemisphere. Several dozen of these stations agreed to launch on schedule over the period when ozone loss is greatest in the Arctic vortex, which is typically from December through mid-March. In the Match protocol, layers of depleted ozone as outlined by an ozonesonde are mapped forward with forecast trajectories based on the European Centre for Medium Range Weather Forecast (ECMWF) winds. If the layer of loss passes close to another sounding location, a sonde is launched close to the time that the air parcel is expected to come by. Potential vorticity is used to assign coordinates for an effective region of loss within the polar vortex. Layers of depleted ozone are mapped onto effective latitude and longitude for computation of ozone loss. An example of a recent Arctic loss appears in Figs. 2–4 of Streibel et al. (2005). Accumulated loss in the vertical (in K or altitude space) is computed. Column-integrated loss amounts within the vortex over the course of the Arctic winter are determined. The fractional loss is typically 10–15% of the total ozone column (the latter 350–475 DU). Factors affecting loss include temperatures, amount of polar stratospheric cloud formation, and duration of the Arctic vortex (Harris et al. 2002).

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Table 1 IONS-06 Stations. Those with ∗ also operated during IONS-04 Station

Lat, Lon

Barbados Beltsville, MD∗ Boulder, CO∗ Bratt’s Lake, SAS Egbert, ONT∗ Holtville, CA Houston, TX∗ Huntsville, AL∗ Kelowna, BC Narragansett, RI∗ Paradox, NY Richland, WA R/V Ronald H Brown Sable Is, NS∗ Socorro, NM Stonyplain, ALB Trinidad Head, CA∗ Table Mtn, CA Mexico City∗∗ Valparaiso, IN Wallops Is, VA∗ Walsingham, ON Yarmouth, NS∗

13.2−59.5 39.0−76.5 40.3−105.2 50.2−104.7 44.2−79.8 32.8−115.4 29.7−95.4 35.3−86.6 49.9−119.4 41.5−71.4 43.9−73.6 46.0−119.0 Gulf of Mex. 44.0−60.0 36.4−106.9 53.6−114.1 40.8−124.2 34.4−117.7 19.4−98.6 41.5−87.0 37.9−75.5 42.6−80.6 43.9−66.1

∗∗

Mexico City: Tecamac (Hidalgo State) in March 2006; at UNAM (Autonomous University of Mexico, Federal District) in August– September 2006

Mid-Latitude Summer Ozone Campaigns: IONS-04 and IONS-06 Our mid-latitude IONS-04 (INTEX Ozonesonde Network Study 2004) campaign (Thompson et al. 2007a, b) integrated half a dozen aircraft flying over North America in the region of greatest summertime export of ozone pollution towards Europe. Table 1 presents IONS-04 stations. During INTEX-A (Singh et al. 2006) satellites supplied carbon monoxide measurements in the free troposphere and views of aerosol (e.g., smoke) plumes. The logistical questions addressed by IONS-04 were: Could European planes operating in the Azores and on the continent intercept the North American pollution plume? Similar to the Match concept, could features of interest be predicted with a combination of sondes and trajectories? Specifically, could ozone pollution plumes from one station in the export corridor over eastern North America be followed to another station while aircraft measured ozone and ozone precursor chemicals? The answer was ‘yes’. For example, a plume from the Washington, DC, area (Fig. 1) was intercepted along the New England coast 2 days later, where trajectories predicted.

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The scientific objectives of IONS-04 were threefold. Like those of Match, two questions were about ozone processes, although it was the formation in the troposphere rather than losses in the stratosphere that motivated the design of IONS and the accompanying aircraft and ground stations. Could we determine how much ozone was imported from Asia and the Pacific to North America? Within a given ozone column what fraction originated in: (1) the stratosphere; (2) local boundary layer pollution; (3) the regional mixture of convectively mixed ozone, ozone precursors gases and lightning. The latter is an important source of nitric oxide that reacts to form ozone. These sources appear schematically in Fig. 2. The third scientific question: As new instruments and models become available, what does sonde ground-truth say about the quality of satellite measurements of pollution and model predictions of where pollution will be transported? In 2006 a three-phase complement to INTEX-B (spring) and the TEXAQS/ GOMACCS (summer) aircraft campaigns, the IONS-06 (INTEX Ozonesonde Network Study), was assembled (Thompson et al. 2008). Because this set of experiments covered transport patterns over southern, western as well as eastern North America, roughly double the number of stations was included in IONS-06 as in IONS-04 (Table 1). Figure 3 illustrates a 1-day curtain of ozone profiles from IONS-06 sondes, spanning central to eastern North America. Zones of stratospheric pollution and lightning influence are interleaved in distinct ozone layers within each profile (the yellow and orange layers between 5 and 14 km). The laminar identification method of Thompson et al. (2007a, b; adapted from Teitelbaum et al. [1994] and Pierce & Grant [1998]) is applied to each sounding to obtain an ozone budget. When the sounding budgets over northeastern North America are taken as a whole, IONS showed stratospheric, convection and lightning origins distributed throughout 30–40% of the tropospheric ozone column. The stratospheric fraction (20–25%) over northeastern North America in IONS-04 (Thompson et al. 2007b) is similar to that reported by Collette and Ancellet (2005) from several decades of summertime sonde data over Europe. The lightning fraction of free tropospheric ozone may be higher over the south central region, for example, in Houston and Huntsville soundings, than northeastern North America (Cooper et al. 2006, 2007). Nonetheless, in August–September 2006 over Houston and Mexico City, stratospheric influence in the troposphere appeared in 60% and 39% of the soundings, respectively (Thompson et al. 2008). IONS data have been used extensively in satellite validation, with ACE (Atmospheric Chemistry Experiment) comparing ozone retrievals to the 2004 campaign and the ozone sensors aboard Aura, launched in July 2004, to IONS-06 data. Aura sensors with enhanced tropospheric sensitivity include the Microwave Limb Sounder (MLS) (Jiang et al. 2007; Schoeberl et al. 2007) and Tropospheric Emission Spectrometer (TES) (Osterman et al. 2008). An advantage of these latter sensors is that multiple species are retrieved so that ozone and carbon monoxide correlations in pollution events can be followed simultaneously (Zhang et al. 2006; Logan et al. 2008).


–80

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Beltsville, MD: 20040708 Temperature (C) –40 –20 0

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Fig. 1 Ozone mixing ratio and radio sounding (temperature and relative humidity change with pressure) data from an IONS-04 launch at Beltsville, Maryland (8 July 2004). The pollution layer at 5 km was detected in sondes launched over New England 2 days later. See associated trajectory and full profiles at the IONS-04 (INTEX Ozonesonde Network Study) website: http://croc.gsfc.nasa.gov/intex/ions

Fig. 2 Cartoon of tropospheric ozone sources differentiated in laminar identification (LID method) in IONS soundings (Thompson et al. 2007a, b)

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A.M. Thompson IONS Profile Cross Section : August 02, 2006

Ozone Mixing Ratio (ppbv) 150

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Fig. 3 A single day ozone curtain over eastern North America from IONS-06 soundings (Thompson et al. 2008) during Phase 3, August–September 2006, when TEXAQS-06/GOMACCS took place (Parrish et al. 2008). The R/V Ronald H Brown operated in and near the Houston ship channel at this time

SHADOZ A Global Tropical Network Origin of SHADOZ. Solving the Wave-One Structure SHADOZ (Southern Hemisphere Additional Ozonesondes) was conceived in the mid-1990s when the satellite community was making new tropospheric ozone products and more advanced ozone sensors were launched. Besides 1970s’ and 1980s’ instruments like Nimbus 7/TOMS (Total Ozone Mapping Spectrometer) and SAGE II (stratospheric aerosol and gas experiment II), ozone instruments on Upper Atmosphere Research Satellite (UARS) and European Space Agency (ESA) platforms (e.g. Global Ozone Monitoring Experiment [GOME]) began operations during this period. There was a critical shortage of tropical data for ground-truth. Stations would stop and start to match campaign schedules (e.g. the Pacific Exploratory Mission—Tropics; Oltmans et al. 2001) and data distribution was uneven. With no long-standing project devoted to sondes and with no means of sharing data, few tropical stations could sustain ozone soundings. SHADOZ remedied these gaps by leveraging the infrastructure of local programmes to maintain sonde launches on a regular schedule. In some cases this included the supply of additional sonde packages to tropical stations (the additional in the acronym).


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Fig. 4 Map of SHADOZ stations in 2006. See Thompson et al. (2003a) for latitude and longitude of each site. Stations that began operating after the January 1998 start of SHADOZ: Irene (South Africa); Malindi (Kenya); Paramaribo (Surinam); Cotonou (Benin); Heredia (Costa Rica)

SHADOZ data are quality assured before distribution at a user-friendly, openaccess (no passwords) archive: http://croc.gsfc.nasa.gov/shadoz. Data are posted as soon as they are received and formats verified. In this way, over 10 years of operation, SHADOZ has collected nearly 4,000 profiles. The data are transmitted regularly to the WMO’s World Ozone and Ultraviolet Data Centre (woudc.org) to further enhance distribution. SHADOZ started with nine stations, all in the southern hemisphere. With the discovery of distinct ozone contrasts between northern and southern hemisphere (as in the ozone paradox, Thompson et al. 2000; Sauvage et al. 2006) there was a need to add northern hemisphere stations. The Royal Dutch Meteorological Institute (KNMI) and the Surinam Meteorological Department began launches at Paramaribo in September 1999. Kuala Lumpur, a station operating in Malaysia since 1993, joined SHADOZ in 2004. At present, 13 stations participate in SHADOZ (Fig. 4). An important factor in site selection for SHADOZ was having sufficient longitudinal coverage to span the standing wave-one pattern in total ozone shown in Fig. 3 of Kim et al. (1996). This phenomenon, seen by satellite (Fishman and Larsen 1987) in the 1980s, refers to 10–20 Dobson Units (DU) more ozone column (1DU = 2.69 × 1016 cm−2 ) over the Atlantic and eastern Africa compared to the central Pacific where total ozone is a minimum. The question of a stratospheric or tropospheric origin of the additional ozone was answered with several years of SHADOZ observations. Column-integrated stratospheric ozone was invariant longitudinally (Thompson et al. 2003a, b), but an additional 15–20 DU appears, with magnitude depending on season, in the troposphere. The tropospheric and lower stratospheric cross-section appears in Fig. 5. Over the Atlantic a lower TTL and a high concentration of lower-mid tropospheric ozone affected by biomass and biofuel burning, lightning and possibly biogenic sources, contribute to the thicker column.

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A.M. Thompson SHADOZ Ozone [ppbv] September/October/November 1998-2007 100 80 6070 55 50 45

100

15 35

80

70

40 60

10 40

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55 50

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55

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45

45

45

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0 –100

35 30

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25

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Fig. 5 Cross-section of ozone mixing ratio based on 1998–2002 data averaged at 0.25 km intervals from the stations illustrated. More ozone is found over the region spanned by eastern South America–Atlantic–Africa–western Indian Ocean than over the Pacific and eastern Indian Ocean. This gives rise to a standing wave-one pattern. When integrated tropospheric ozone is compared between Atlantic and Pacific, the difference is equal to the ‘wave-one’ magnitude, 10–20 DU, depending on season. Variations in the tropopause region and tropospheric ozone are responsible for the wave pattern. Stratospheric column ozone is uniform over the same region within experimental error (Thompson et al. 2003a; Figures 12 –14)

SHADOZ and the Tropical UT/LS. Tropopause Layer (TTL)—Convection, ENSO, QBO, Brewer-Dobson Circulation, Wave Structure The quality, spatial density and frequency of SHADOZ sondes have led to many novel applications of the data. For example, Logan et al. (2003) used the early SHADOZ record to characterise ozone and temperature patterns produced by the quasi-biennial oscillation (QBO) in the mid-stratosphere. Stations closer to the equator, e.g. Nairobi and San Cristóbal, manifest stronger signals than those south of 5S. A more recent view of San Cristóbal temperature anomalies appears in Fig. 6. SHADOZ data are used to evaluate satellite data and assimilation models (e.g. Schoeberl et al. 2007; Stajner et al. 2008). Perhaps the most active research area to which SHADOZ data are being applied is to investigations of ozone and temperature in the tropical tropopause layer (TTL). The breadth of this activity has been aided by new satellite capabilities and by unresolved issues in the nature of troposphere-to-stratosphere transport of water vapour. Of particular interest is the role of convection in troposphere-to-stratosphere transport and the relative


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Fig. 6 The sequence of temperature anomalies from interpolated SHADOZ data over San Cristóbal. The characteristic quasi-biennial oscillation (QBO) pattern is noticeable at 18 km and reaches greatest intensity between 24 and 28 km (From Shelow 2007)

contributions of advection, radiative heating and wave activity in determining the TTL structure (Rex et al. 2007). Among significant results of investigations based on SHADOZ observations are the following: 1. A small number of episodes in which very-low O3 layers are found in the upper troposphere (UT) (100–300 hPa) is observed at all SHADOZ stations except Nairobi and Irene. When the frequency of the lowest-ozone layers during the 2000–2004 period at Samoa, Ascension and Natal is compared to profiles at these sites in the 1986–1992 period, an increase in the occurrence of the lowest-ozone episodes is noted (Solomon et al. 2005). The shape of the low ozone layers follows convective outflow locations over regions of low surface ozone, raising a question about possible changes in dynamical changes in the past 20 years. 2. Folkins and coworkers (Folkins et al. 2000, 2002) were among the first to exploit ozone, temperature and potential profiles from SHADOZ to demonstrate the importance of convective outflow of ozone in the TTL. Recently, Folkins et al. (2006) used a simple radiative-detrainment model to connect CO and ozone from MLS with SHADOZ ozone and temperature, demonstrating interactions of mean upwelling and convection in establishing the seasonal cycles of these parameters.

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3. In Randel et al. (2007), SHADOZ data and Aura/MLS delineate the seasonality of ozone and temperature in the TTL (16–19 km). The maximum and minimum ozone differ by almost a factor of two. The ozone is nearly in phase with the annual temperature cycle and is associated with the mean upwelling rate of the Brewer–Dobson circulation. 4. Takashima and Shiotani (2007) used 6 years of SHADOZ observations to characterise the seasonality of ozone and temperature in the tropical upper troposphere. Interactions are such that when the higher-ozone longitude (corresponding to the ozone maximum in the wave-one) is at its greatest level, during austral winter and spring, the temperature lapse rate is reduced; the opposite happens when the ozone is in its seasonal minimum. 5. Wave influences in the TTL ozone distribution were evaluated by Loucks (2007). A seasonal cycle in features identified with gravity or Kelvin wave forcing is strongest near the equator and more intense over the eastern Indian Ocean and Pacific than over the Atlantic or African SHADOZ sites.

Summary and Conclusions Network Design In designing strategic ozonesonde networks, the location of sites and timing of launches must match the scientific questions being investigated. For campaign-class networks (weeks to months duration), launches are normally daily to several times per week. Match engaged ∼30 stations over periods of 3–4 months, depending on the timing of polar vortex break up. For IONS-04 and IONS-06, respectively, roughly one and two dozen sites were required. In the case of SHADOZ, largerscale questions, e.g. the zonal wave-one, along with the stability of free tropospheric ozone over the remote tropics and climatological goals for satellite validation, are satisfied with a dozen sites and weekly launches. An important consideration for all networks is consistency in instrumentation and procedures so that measurements meet accuracy and precision requirements of the network. As long-term measurements are used for satellite verification, climatological studies and trends, the quality assurance criterion for sondes has increased from ∼15% to about 5% (Smit et al. 2007; Thompson et al. 2007c). Easy data access, convenient formats and availability of data at permanent archives are essential to the value of the networks.

Scientific Highlights Three strategic ozonesonde networks have been surveyed, one each in polar, midlatitude and tropical regimes. The design and operations of the networks have been


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chosen to optimise scientific goals. Match estimates the magnitude of polar ozone depletion during most northern hemisphere winters since 1992 (Rex, this Symposium). The mid-latitude campaigns in IONS give unique data for evaluating models and the newer satellite sensors, GOME, Scanning Imaging Absorption Spectrometer for Atmospheric Chartography (SCIAMACHY), ACE and the ozone instruments on Aura. With concentrated soundings over a single continent, IONS is well-suited to the development of regional models, including those being developed for air quality forecasts. Statistics show a high degree of complexity in persistent layers in the troposphere with convective and stratospheric signatures detected in spring and summer. Stable ozone laminae with pollution and lightning influences interleaved with stratospheric remnants describe the normal state of the mid-latitude free troposphere over North America, a perspective not evident until the density of sondes provided by IONS. As in mid-latitudes, SHADOZ has revealed the tropopause as a region where dynamical interactions with highly varying chemical sources lead to persistent layers of mixed influence. The discussion of convection, radiation and advection as processes influencing stratosphere–troposphere mixing, dehydration of the lower stratosphere and feedbacks between changing ozone and temperatures engages multiple observing techniques. As the Montreal Protocol era progresses, strategic ozonesonde networks will continue to play a vital role in monitoring ozone and tracking the interaction of ozone chemical and radiative processes throughout stratosphere and troposphere. Acknowledgments The Upper Atmosphere Research Program of NASA, NASA’s Tropospheric Chemistry Program and Aura Validation have made IONS and SHADOZ possible (M. J. Kurylo, B. G. Doddridge, J. H. Crawford). Support from NOAA’s Global Monitoring Division (D. Hoffman) and, for the intercomparison activities, WMO (M. Proffit, L. Barrie, G. Braathen) is gratefully acknowledged. The author thanks W. C. Hui (PSU) for help with the manuscript and S. K. Miller (PSU) for graphical analysis.

References Collette, A., & Ancellet, G. (2005). Impact of vertical transport processes on the tropospheric ozone layering above Europe. Part II: Climatological analysis of the past 30 years. Atmospheric Environment, 39, 5423–5435. Cooper, O. R. et al. (2006). Large upper tropospheric ozone enhancements above mid-latitude North America during summer: In situ evidence from the IONS and MOZAIC ozone monitoring network. Journal of Geophysical Research, 111, D24S05, doi: 10.1029/2006JD007306. Cooper, O. R. et al. (2007). Evidence for a recurring eastern North American upper tropospheric ozone maximum during summer. Journal of Geophysical Research, 112, D23304, doi: 10.1029/2007JD008710. Folkins, I., Oltmans, S. J., & Thompson, A. M. (2000). Tropical convective outflow and nearsurface equivalent potential temperatures. Geophysical Research Letters, 27, 2549–2552. Folkins, I., et al. (2002). Tropical ozone as in indicator of deep convective outflow, Journal of Geophysical Research, 107, D13, doi: 10.1029/2001JD001178.

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Smit, H. G. J., et al. (2007). Assessment of the performance of ECC-ozonesondes under quasi-flight conditions in the environmental simulation chamber: Results from the Juelich Ozonesonde Intercomparison Experiment chamber (JOSIE). Journal of Geophysical Research, 112, D19306, doi: 10.1029/2006JD007308. Solomon, S., Thompson, D. W. J., Portmann, R. W., Oltmans, S. J., & Thompson, A. M. (2005). On the distribution and variability of ozone in the tropical upper troposphere: Implications for tropical deep convection and chemical-dynamical coupling. Geophysical Research Letters, 32, L23813, doi: 10.1029/2005GL024323. Stajner, I., et al. (2008). Assimilated ozone from EOS-Aura: evaluation of the tropopause region and tropospheric columns. Journal of Geophysical Research, 113, D16S32, doi: 10.1029/2007JD008863. Streibel, M., et al. (2005). Chemical ozone loss in the Arctic winter 2002/2003 determined with Match 1680–7375. Atmospheric Chemistry and Physics, 5, 4311–4333. Takashima, H., & Shiotani, M. (2007). Ozone variation in the tropical tropopause layer as seen from ozonesonde data. Journal of Geophysical Research, 112, D11123, doi: 10.1029/2006JD008322. Teitelbaum, H., Ovarlez, J., Kelder, H., & Lott, F. (1994). Some observations of gravity-waveinduced structure in ozone and water vapour during EASOE. Geophysical Research Letters, 21, 1483–1486. Thompson, A. M., Doddridge, B. G., Witte, J. C., Hudson, R. D., Luke, W. T., Johnson, J. E., et al. (2000). A tropical Atlantic ozone paradox: Shipboard and satellite views of a tropospheric ozone maximum and wave-one in January–February 1999. Geophysical Research Letters, 27, 3317–3320. Thompson, A. M., et al. (2003a). Southern Hemisphere ADditional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology. 1. Comparison with TOMS and ground-based measurements. Journal of Geophysical Research, 108, 8238, doi: 10.1029/2001JD000967. Thompson, A. M., et al. (2003b). Southern Hemisphere Additional Ozonesondes (SHADOZ) 1998–2000 tropical ozone climatology. 2. Tropospheric ozone variability and the zonal wave-one. Journal of Geophysical Research, 108, D2, 8241, doi: 10.129/2002JD002241. Thompson, A. M., et al. (2007a). Intercontinental transport experiment ozonesonde network study (IONS, 2004): 1. Summertime upper tropospheric/lower stratosphere ozone over northeastern North America. Journal of Geophysical Research, 112, D12S12, doi: 10.1029/2006JD007441. Thompson, A. M., et al. (2007b). Intercontinental transport experiment ozonesonde network study (IONS, 2004): 2. Tropospheric ozone budgets and variability over northeastern North America. Journal of Geophysical Research, doi: 10.1029/2006JD007670, 112, D12S13. Thompson, A. M., Witte, J. C., Smit, H. G. J., Oltmans, S. J., Johnson, B. J., Kirchhoff, V. W. J. H., et al. (2007c). Southern Hemisphere Additional Ozonesondes (SHADOZ) 1998–2004 tropical ozone climatology. 3. Instrumentation, station variability, evaluation with simulated flight profiles. Journal of Geophysical Research, 112, D03304, doi: 10.1029/2005JD007042. Thompson, A. M., Yorks, J. E., Miller, S. K., Witte, J. C., Dougherty, K. M., Morris, G. A., et al. (2008). Free tropsopheric ozone sources and wave activity during MILAGRO/Intercontinental Transport Experiment Ozone Network Study, 2006 (IONS-06). Atmospheric Chemistry and Physics, 8, 5113–5125. Von der Gathen, P., et al. (1995). Observational evidence for chemical ozone depletion over the Arctic winter 1991–92. Nature, 375, 131–134. World Meteorological Organization. (2007). WMO (World Meteorological Organization) Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project – Report No. 50, 572 pp., Geneva, 2007. Zhang, L., et al. (2006). Ozone-CO correlations determined by the TES satellite instrument in continental outflow regions. Geophysical Research Letters, 33, L18804, doi: 10.1029/2006GL026399.

Global Observations—The Key to Model Development and Improved Assessments Anne R. Douglass

Abstract The stratospheric models used to predict changes in the ozone due to changes in the atmospheric composition and climate have developed from the onedimensional models of the 1970s to the three-dimensional models in use today. Observations have played an obvious key role in model development, as they lead to the development and refinement of the conceptual model that underlies the computational model used in prediction. Observations also played another role. For example, a model failure to produce observed correlations between long-lived constituents in the lower stratosphere first led to an improvement in the numerical scheme transport algorithm and then inspired changes in the approach used to solve the equations of motion in a general circulation model. This led to improvements in several aspects of the simulation, including realistic propagation of the tape recorder signature in the tropical water vapor and a realistic distribution for lower stratospheric age-of-air. Keywords Constituentcorrelations · numericaltransport · stratosphericconstituents · stratospheric models

Introduction The desire to understand and the need to predict are the two forces that inspire development of the science foundation for understanding the composition of the Earth atmosphere. These forces are intertwined, as realistic predictions rely on clear understanding. Atmospheric observations and atmospheric models are both required to gain understanding, and there have been huge changes in the past few

A.R. Douglass Code 613.3 NASA Goddard Space Flight Center Greenbelt, MD, USA e-mail: [email protected]


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decades. There are now multi-decadal sets of observations from balloon, aircraft, ground-based, and satellite-borne instruments. Analysis of such data sets leads to insights into atmospheric processes, and the insights lead to refinement of the conceptual basis of atmospheric models. The atmospheric model must be developed in such a way that it can be used to compute constituent distributions and evolution, thus making quantitative comparisons with observations possible. The atmospheric model thus has two parts—one part is the conceptual model, as revealed through observations and theoretical development, and the second part is the computational model. The second part can be thought of as the practical implementation of the conceptual model, and this is where the need for spatial and temporal resolution, the number of interacting species, the complexity of their photochemical interactions, and the practical limitations of computers bump into one another. All of these (the conceptual model, its computational implementation, and computer resources) have developed rapidly during the last few decades. Molina & Rowland (1974) suggested that man-made chlorofluorcarbons could lead to global changes in atmospheric ozone. At that time, there were few observations, the conceptual model was not complete, and its computational implementation was primitive. The early assessments relied mainly on one-dimensional (1D) “global average” models. Transport in such models was parameterized via vertical diffusion, tuned to reproduce the fall-off of nitrous oxide with increasing altitude as observed by balloon-borne instruments (Schmeltekopf et al. 1977). The 1D models often contained a detailed set of stratospheric photochemical reactions, but there were many questions regarding the credibility of their predictions. There were few measurements that could be used to check the realism of the modeled “present” atmosphere, and little evidence that the simulated response to prediction was correct. The computational models also required measurements of the rates of chemical reactions and cross-sections for photolysis. This discussion acknowledges the important contributions of the many physical chemists who produced the necessary database (e.g., Sander et al. 2006, and previous versions). The development pace was rapid from the 1D models of the 1970s to the three-dimensional (3D) models of the present. The conceptual model of the 1970s included interrelationships among dynamics, radiation, and photochemistry through the ozone which is transported by the winds, contributes to the temperature field through heating via absorption of ultraviolet radiation, and is produced and destroyed through temperature-dependent photochemical reactions (Cunnold et al. 1977), but these interrelationships could not be fully represented in 1D models. Two-dimensional (2D) zonal average latitude/altitude models were the assessment workhorses of the late 1980s and 1990s as it is clear from their use in the World Meteorological Assessment reports of those decades. The transport in these models included the mean circulation (Dunkerton 1978) and horizontal mixing through diffusion (e.g., Jackman et al. 1988). Two-dimensional models were successful in reproducing some aspects of observations (WMO 1994 and references therein). However, the observations show that the assumption of zonal symmetry fails for some processes, for example, those that require an accurate representation of the

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northern hemisphere winter vortex, and the development of both conceptual and computational aspects of three-dimensional models continued. “Coupled” three-dimensional models combine a general circulation model, which calculates winds and temperatures by numerically solving the equations of motion, with a representation of the photochemical processes that are important to the evolution of atmospheric constituents including stratospheric ozone. Chemistry climate models (CCMs) maintain consistency among the photochemical, radiative, and dynamical components of the model by transporting constituents using the simulated meteorology and using the simulated fields for ozone and other gases to calculate the radiative heating. Both 2D models and CCMs contributed to the Scientific Assessment of Ozone Depletion: 2006 (WMO 2007). Computational capability has increased dramatically from the 1970s to the present, making it possible for the computational model to represent many atmospheric processes directly. The discussion here focuses on the two ways that observations contribute to model development. First, observations lead directly to an improved conceptual model, as new processes are identified, the conceptual model is modified, and modifications are made to represent the new processes in the computational model. For example, computational models in existence at the time of the discovery of the annual thinning of the ozone layer during austral spring at southern polar latitudes (the “Antarctic Ozone Hole”) (Farman et al. 1985) did not reproduce this phenomenon. This is not surprising, given that the mechanisms that lead to the massive polar ozone destruction were unknown, missing from the conceptual model and therefore obviously missing from the computational model. The observations of Farman et al. were soon augmented by other observations. These led to the discovery of new mechanisms in photochemistry and requirements for realistic meteorological representation of the polar vortices (Schoeberl et al. 1992). The new conceptual model incorporated the photochemical and meteorological discoveries, followed by its implementation in the computational model. Another example concerns the stratospheric sulfate aerosol layer. Comparisons of observations of nitrogen-containing species NO, NO2 , and HNO3 in the lower stratosphere with model values revealed large discrepancies and suggested a missing component of the conceptual model. The role of the aerosol layer and the reaction on aerosol surfaces of water with N2 O5 (produced from NO2 at night and photolyzed during the day) was recognized. This reaction leads to higher levels of the reservoir gas HNO3 , lower levels of nitrogen radicals NO and NO2 , and less importance of the nitrogen species in controlling the ozone loss in the lower stratosphere (Fahey et al. 1993). Once recognized as a necessary element of the conceptual model and implemented in the numerical model the simulated nitrogen species compared favorably with observations (Kawa et al. 1993). There is a second category of improvements to models that are inspired by comparisons of simulation and observations. The initial step towards developing an improvement, as for the “new processes needed” category described above, is finding a deficiency through comparisons of simulated fields with observations. The example of category two, which is the subject of this paper, is the observation that long-lived constituents are correlated with each other in the lower stratosphere. The

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following sections describe some of the major developmental steps that have taken place during the last few decades, emphasizing their connection to the requirement to produce the observed constituent correlations.

Model Development and Constituent Correlations Initial efforts to produce a 3D model suitable for ozone predictions were hampered by the inadequacy of the conceptual model, lack of computational resources, and lack of data with which to compare model results. Cunnold et al. (1975) coupled a limited set of photochemical reactions with a simplified general circulation model in one of the early attempts to produce a coupled three-dimensional model. The realism of the simulated ozone was demonstrated by comparing a global mean ozone profile with mid-latitude rocket measurements of ozone (Krueger & Minzer 1973). The model profile compared reasonably well with the observations, but such simple comparisons fail to test many aspects of the simulation including, but not limited to, the latitudinal and seasonal variations in ozone, its interannual variability. The model represented only hydrogen and nitrogen species, and did not include all of the loss processes now known to be important to stratospheric ozone due to computational limitations. There were few observations appropriate for comparison with the output from global simulations, and the satellites that would provide global measurements to compare with the modeled fields had not yet been launched. Some data sets were important for comparison of results with 2D models, and also for showing that 3D models were required. The limb infrared monitor of the stratosphere (LIMS) instrument on NIMBUS 7 provided profiles of temperature, ozone, water, nitric acid, and nitrogen dioxide for October 1978–May 1979 (Gille & Russell 1984). The total ozone mapping spectrometer (TOMS) instrument on Nimbus-7 provided high horizontal resolution measurement of column ozone for 1979–1993. Even before the data set was long enough, with stable calibration, for computation of trends (Stolarski et al. 1991), the latitude and seasonal variations of the total column ozone were commonly compared with fields simulated with 2D models. There were many issues that delayed the development of general circulation models including photochemistry. Biases in the temperature distribution were large enough that temperature-dependent photochemical processes were not represented realistically. Rood et al. (1989) proposed that progress could be made using winds and temperatures from a data assimilation system. The temperatures from the assimilation system generally matched observed temperatures, and the horizontal winds were realistic. Such a model, that solves constituent continuity equations using the input winds for transport and uses the input temperature to calculate constituent production and loss, is called a chemistry and transport model (CTM). The continuity equation is solved using process splitting, that is, the photochemical and transport contributions are solved successively. Rood et al. (1991) showed simulations using simplified production and loss for ozone behavior compared with ozone


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measured by the limb infrared monitor of the stratosphere (LIMS) on Nimbus 7. The numerical transport part of the continuity equation was solved using a spectral transport scheme. The simulated fields (see Figure 4 in Rood et al. 1991) resembled LIMS ozone, and the comparison between observation and model is improved if the modeled ozone field was sampled as if by satellite for comparison with the observations. The comparison is qualitative at best. There were differences between model and observation loosely attributed to issues with the assimilation system and noisy assimilated winds. The comparisons of the data and simulated fields were not quantitative enough to be able to decide if differences are due to the model photochemistry, input winds, or the numerical algorithms used for transport. Although not discussed by Rood et al., long-lived constituents produced with this CTM did not maintain constituent correlations. Because the model failed to reproduce this observed behavior, the model was not considered credible. The model deficiency was traced to the numerics of the transport scheme. The spectral transport scheme can generate negative mixing ratios, and although these are eliminated with a filling algorithm, the process affects different long-lived tracers differently, thus corrupting the constituent correlations. Allen et al. (1991) describe implementation of an upstream-biased monotonic grid point transport scheme first described by van Leer (1974) in the CTM. In an upwind-biased scheme, advection takes place only in the direction of the wind, and the downwind boxes have no influence. As long as the Courant-Friedrichs-Levy (CFL) condition for the time step is satisfied, there are no undershoots, so the algorithm cannot produce negative mixing ratios. This contrasts with solution of the transport part of the continuity equation using centered differences, as such a scheme, like spectral transport, can produce negative mixing ratios and require filling near sharp gradients. Once the van Leer algorithm was implemented in the CTM, the calculated fields for longlived tracers maintain constituent correlations. Note that this improvement to the numerical model did not necessitate a change to the conceptual model. A second simulation reported in Rood et al. (1991) is for winter 1989 and shows the first surprising result of this implementation. The CTM has the same conceptual model as for 1979 simulation that is compared with LIMS. The meteorological assimilation system for 1989 is updated, but its quality is not radically different. The quality of the simulation is much improved, and the column ozone at high latitudes is shown to track the day-to-day variability of TOMS observations (see Figure 11 in Rood et al. 1991). The change to the numerical scheme that was implemented to maintain correlations between simulated long-lived species also led to a higher level of fidelity for comparisons of computed total ozone with observations. The van Leer algorithm was attractive for use in global atmospheric models because it preserved sharp mixing ratio gradients, such as that found at the polar vortex boundary, but was monotonic (i.e., does not produce new maxima) and also maintained constituent correlations. However, it was necessary to take small-time steps at high latitudes where the size of the grid boxes becomes small, particularly during periods of cross-polar flow. Lin and Rood (1996) developed a multidimensional upstream-biased, flux form transport scheme that could accommodate arbitrarily long-time steps, the flux-form semi-Lagrangian (FFSL). This algorithm

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maintained the important features of the van Leer algorithm but allowed transported material to travel farther than a single gridbox. The FFSL did not require a constraint on the time step, making the algorithm more practical for global calculations, but did have a constraint to ensure monotonic transport and conserves constituent correlations. The remarkable result stemming from the success with the new numerical transport algorithm for constituents is that this success inspired changes to the dynamical core of the GCM. The equations of motion that are solved in the general circulation model include material derivatives, and the approach to numerical solution of the equations of motion follows the approach used in the constituent transport algorithm. Douglass et al. (2003) report on the features of tropical transport in a CTM using winds and temperatures from the Finite Volume General Circulation Model, a general circulation model developed at Goddard Space Flight Center, in collaboration with the National Center for Atmospheric Research, used the flux-form semi-Lagrangian transport scheme (Lin and Rood 1996, 1997) to ensure accurate representation of transport by the resolved scale flow. Douglass et al. (2003) compared simulated fields of ozone, methane, and total reactive nitrogen with observations, and found that transport was far more realistic in the CTM using meteorological fields from FVGCM than any simulation using assimilated fields.

Success of the Finite-Volume Dynamical Core Evaluation of atmospheric models is complex, and overall evaluation of one or several of the models using the approach of Lin and Rood (1997) is beyond the scope of this work. However, it is appropriate to comment on a few key comparisons. NASA-sponsored Models and Measurements workshops in 1992 (Prather & Remsberg 1993) and 1997 (Park et al. 1999) examined the many aspects of stratospheric models, identifying areas of success and failure for individual participating models and also finding some areas in which none of the model results matched the observations. Boering et al. (1996) used the known trend and stratospheric measurements of carbon dioxide to derive values for the mean age of stratospheric air, that is, the mean time since the air had entered the stratosphere. Hall et al. (1999) used values of mean age derived from measurements to evaluate the models participating in the second workshop, showing that nearly all of the models produced “young” ages. The mean age is considered a key comparison for models, and values derived for observations are compared with values from 13 chemistry-climate models (Eyring et al. 2006) and reported for models participating in Scientific Assessment of Ozone Depletion: 2006 (WMO 2007). The simulated values for many models, including the NASA Goddard CCM (labeled GEOSCCM), are much more similar to observed values than for any simulated values included in the study reported by Hall et al. (1999). The tropical ascent rates are tested by examining ascent of the “tape recorder” signal, that is the vertical propagation of seasonally


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varying anomalies in water vapor due to the seasonal variation of the tropopause temperature (Mote et al. 1996). Eyring et al. (2006) connect the mean age to the modeled ascent rate, and it is clear from Figure 8 in that paper that the ascent rate in the Goddard CCM closely matches the ascent rate derived from observations of stratospheric water vapor from the Halogen Occultation Experiment (HALOE) on the Upper Atmosphere Research Satellite. Predictions for ozone recovery still vary among models participating in 2006, and it is a challenge both to understand the causes of the variability and to determine which predictions are more reliable. One key to the differences is found in the simulated total inorganic chlorine. Since all the models use the same boundary conditions, the variability that is seen in simulated polar chlorine (Figures 6–8, WMO 2007) results from differences in simulated transport and mixing. Douglass et al. (2008) compared an observed relationship between the mean age of air for a parcel and the amount of inorganic chlorine remaining in the parcel relative to its initial value with simulated relationships. The Goddard CCM-simulated relationship matches the observed relationship, suggesting that the simulated path through the height-dependent destruction rates for chlorofluorcarbons are realistic. Further investigation will determine if the differences among models and lack of fidelity to observations are due to issues with the conceptual model or due to issues with implementation in the computational model.

Conclusions Comparisons of simulated constituent fields with observations are clearly the key to improved modeling capability, for these comparisons lead to improvements in the conceptual model, that is, the underlying set of physical and chemical processes, and the computational model, the numerical expression of the conceptual model that we must use for predictions. Discoveries such as the Antarctic ozone hole have led to dramatic changes in the conceptual model. The computational advances of the past 2 decades have made possible a much more physically realistic computational model. Detailed comparisons with observations placed physical constraints on the computational model. A good example of a physical constraint is the requirement that the numerical scheme maintain correlations between long-lived constituents. The change in the numerical transport algorithms to meet this constraint inspired a change in the approach to the solutions of the equations of motion in the general circulation model, and ultimately to the development of an improved computational model. A remaining challenge is for qualitative comparisons of simulated fields with observations to be replaced by quantitative comparisons that can be used to judge whether processes are adequately represented in various models, and eventually to judge whether predictions from one model are more likely valid than those from another. Douglass et al. (1999) took a step towards this goal, judging the realism of various sets of meteorological fields in a CTM framework. Presently, the

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Chemistry-Climate Model Validation Activity (CCMVal), established by SPARC (Stratospheric Processes and their Role in Climate, a project of the World Climate Research Programme) seeks to apply common process-oriented diagnostics to models participating in assessments. The program and its application are discussed by Eyring et al. (2005, 2006, 2007). Instruments on NASA’s Aura, the European Space Agency ENVISAT and the Canadian Sci-Sat continue to produce high-quality global observations of ozone and other constituents. Global measurements of tropospheric constituents are informing the present generation of scientists. The conceptual model will be refined, perhaps transformed, as directed by comparisons of simulation with observation. The computational model will be improved as computational resources grow, and perhaps again be modified to accommodate physical constraints derived from observations.

References Allen, D. J., Douglass, A. R., Rood, R. B., & Guthrie, P. D. (1991). Application of a monotonic upstream-biased transport scheme to three-dimensional constituent transport calculations, Monthly Weather Review, 119, 2456–2464. Boering, K. A., Wofsy, S. C., Daube, B. C., Schneider, H. R., Loewenstein, M., & Podolske, J. R. (1996). Stratospheric mean ages and transport rates from observations of carbon dioxide and nitrous oxide. Science, 274(5291), 1340–1343. Cunnold, D., Alyea, F., Phillips, N., & Prinn, R. (1975). A three-dimensional dynamical-chemical model of atmospheric ozone. Journal of Atmospheric Science, 32, 170–194. Douglass, A. R., Prather, M. J., Hall, T. M., Strahan, S. E., Rasch, P. J., Sparling, L. C., et al. (1999). Choosing meteorological input for the Global Modeling Initiative assessment of high-speed aircraft. Journal of Geophysical Research, 104, 27,545–47,564. Douglass, A. R., Schoeberl, M. R., & Rood, R. B. (2003). Evaluation of transport in the lower tropical stratosphere in a global chemistry and transport model. Journal of Geophysical Research, 108, 4259, doi: 10.1029/2002JD002696. Douglass, A. R., Stolarski, R. S., Schoeberl, M. R., Jackman, C. H., Gupta, M. L., Newman, P. A., et al. (2008). The relationship of loss, mean age of air and the distribution of CFCs to stratospheric circulation and implications for atmospheric lifetimes. Journal of Geophysical Research, 113: D14, D14309. Dunkerton, T. (1978). Mean meridional mass motions of the stratosphere and mesosphere. Journal of Atmospheric Science, 35, 2325–2333. Eyring, V., et al. (2005). A strategy for process-oriented validation of coupled chemistry-climate models. Bulletin of the American Society, 86. Eyring, V., et al. (2006). Assessment of temperature, trace species and ozone in chemistry climate model simulations of the recent past. Journal of Geophysical Research, 111, D22308. Erying, V., et al. (2007). Multimodel projections of stratospheric ozone in the 21st century. Journal of Geophysical Research 112, D16303. Farman, J. C., Gardiner, B. G., & Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal ClOx /NOx interaction. Nature, 315, 207–210. Fahey, et al. (1993). In situ measurement constraining the role of sulfate aerosols in midlatitude ozone depletion. Nature, 363, 509–514. Gille, J. C., & Russell, J. M. (1984). The limb infrared monitor of the stratosphere – experiment description, performance and results. Journal of Geophysical Research, 89, 5125–5140. Hall, T. M., Waugh, D. W., Boering, K. A., & Plumb, R. A. (1999). Evaluation of transport in stratospheric models. Journal of Geophysical Research, 104, 18815–18839.


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Kawa et al. (1993). Interpretation of NOx/NOy observations from AASE-II using a model of chemistry along trajectories. Geophysical Research Letters, 20, 2507–2510. Krueger, A. J., & Minzer, R. (1973). A proposed mid-latitude ozone model for the U. S. standard Atmosphere, X-651–73–72. Berkeley, CA: Goddard Space Flight Center. Jackman, C. H., Newman, P. A., Guthrie, P. D., & Schoeberl, M. R. (1988). Effect of computed horizontal diffusion coefficients on two-dimensional N2 O model distributions. Journal of Geophysical Research, 93, 5213–5219. Lin, S. J., & Rood, R. B. (1996). Multidimensional flux-form semi-Lagrangian transport schemes. Monthly Weather Review, 124, 2046–2070. Lin, S. J., & Rood, R. B. (1997). A finite-volume integration scheme for computing pressuregradient forces in general vertical coordinates. Quarterly Journal of the Royal Meteorological Society, 123, 1749–1762. Molina, M. J., & Rowland, F. S. (1974). Stratospheric sink for chlorofluoromethanes – chlorine atomic-catalyzed destruction of ozone. Nature, 249, 810–812. Mote, P. W., Rosenlof, K. H., McIntyre, M. E., Carr, E. S., Gille, J. C., Holton, J. R., et al. (1996). An atmospheric tape recorder: The imprint of tropical tropopause temperatures on stratospheric water vapor. Journal of Geophysical Research, 101, 83989–4006. Park, J. H., Ko, M. K. W., Jackman, C. H., Plumb, R. A., Kaye, J. A., & Sage, K. H., eds., (1999). Models and Measurements Intercomparison II, NASA/TM-199–209554. Prather, M. P., & Remsberg, E. E. (Eds.). (1993). The atmospheric effects of stratospheric aircraft: Report of the 1992 Models and Measurements Workshop, NASA Reference Publication 1292. Rood, R. B., Allen, D. J., Baker, W. E., Lamich, D. J., & Kaye, J. A. (1989). The use of assimilated stratospheric data in constituent transport calculations. Journal of Atmospheric Science, 46, 687–701. Rood, R. B., Douglass, A. R., Kaye, J. A., Geller, M. A., Allen, D. J., Larson, E. M., et al. (1991). 3-dimensional simulations of wintertime ozone variability in the lower stratosphere. Journal of Geophysical Research, 96, 5055–5071. Sander, S. P., et al. (2006). Chemical kinetics and photochemical data for use in atmospheric studies, Eval. No. 15, Jet Propulsion Laboratory Publ. 06–2. Schmeltekopf, A. L., et al. (1977). Stratospheric nitrous-oxide altitude profiles at various altitudes. Journal of Atmospheric Science, 34, 729–736. Schoeberl, M. R., Lait, L. R., Newman, P. A., & Rosenfield, J. E. (1992). The structure of the polar vortex. Journal of Geophysical Research, 97, 7859–7882. Stolarski, R. S., Bloomfield, P., McPeters, R. D., Herman, J. R. (1991). Total ozone trends deduced from Nimbus-7 TOMS data. Geophys. Res. Lett., 18, 1015–1018. van Leer, B. (1974). Towards the ultimate conservative difference scheme II: monotonicity and conservation combined in a second-order scheme, Journal of Computational Physics, 14, 361–370. World Meteorological Organization (WMO) (1994). Scientific assessment of ozone depletion: 1994, Rep. 37, Global Ozone Research and Monitoring Project, Geneva. World Meteorological Organization (WMO) (2007). Scientific assessment of ozone depletion: 2006, Rep. 50, Global Ozone Research and Monitoring Project, Geneva.

Part V

Ozone and Climate-Dynamics

The Rise and Fall of Dynamical Theories of the Ozone Hole Mark R. Schoeberl and Jose M. Rodriguez

To a man with a hammer, everything is a nail Unknown Abstract During the late 1980’s the appearance of the rapid spring decrease in Antarctic stratospheric ozone (the ozone hole) produced a large number of hypotheses. The two main contenders were the chemical hypothesis involving unmeasured chemical reactions, and the dynamical hypothesis involving a potential systematic change in Antarctic circulation. The strong observed correlation between column ozone changes and lower stratospheric temperature trends gave weight to the dynamical theory. However, after pioneering ground based and aircraft observations, it became clear that the Antarctic circulation was not changing during the column ozone decrease period as predicted by the dynamical hypothesis. These same observations showed significant chemical changes in the Antarctic lower stratosphere, which, along with focused laboratory chemical measurements showed that a variation of the original the chemical hypothesis explained the ozone hole phenomena. Keywords Antarctic lower stratosphere · observations ozone hole · ozone hole theory · TOMS

Introduction The spring, Antarctic ozone depletion or “ozone hole” was discovered by Farman et al. (1985). They suggested, as it turns out correctly, that the ozone hole was related to the increase in chlorofluorocarbons in the stratosphere and that chlorine catalytic chemical reactions were causing the ozone hole. But, almost immediately, atmospheric chemists realized that the ozone hole appeared to be developing in a region M.R. Schoeberl NASA/Goddard Space Flight Center, Greenbelt, MD, USA, 20771 e-mail: [email protected]


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where well-known catalytic cycles could not explain the loss. So the suggestion by Farman et al., although prescient, was greeted with skepticism because the mechanism they suggested could not possibly be correct. Along a completely different direction, Tung et al. (1986) suggested that the ozone loss could be produced by a reversal of the normal downwelling circulation over Antarctica. This was the first mention of a dynamical explanation of the ozone hole. In the period between the 1985 publication of the Farman paper and the 1987 AAOE aircraft expedition a number of different and (in retrospect) sometimes strange explanations for the ozone depletion were put forth. In the interim, the ozone hole phenomenon captured the public’s interest and imagination. For example, the Weekly World Reader, a grocery store tabloid, claimed that aliens were causing the ozone hole by landing spaceships at a secret Antarctic base. In the 1962 book The Structure of Scientific Revolutions by Thomas Kuhn, the author points out that scientists are very reluctant to abandon existing theories until the contrary evidence is overwhelming. Until that “paradigm shift” happens, scientists will tinker with existing theories to see if they can be adapted to the new data or will try to describe the new data as an experimental problem. In this case, almost as soon as the “dynamical” hypotheses of the ozone hole were published evidence began to mount that there were problems, although the proponents were not willing to abandon it right away for reasons described below. It was not until the Airborne Antarctic Ozone Experiment September 1987 flights provided enough contrary data that the proponents of the dynamical theory gave it up. The purpose of this chapter is to provide some perspective on the ozone hole problem confronting scientists during 1986 and 1987 and show how the scientific processes of hypothesis, testing, and refining worked well in this case.

Observations and the Ozone Hole and the Antarctic Lower Stratosphere As it is often the case with a new phenomenon for which there is limited data, a number of hypotheses can be immediately put forward to explain the data. These hypotheses, if they are any good, make predictions which can then be verified or refuted by subsequent observations. This was certainly the case with the ozone hole. The observational evidence originally consisted only of the following: a rapid decrease in the ozone column in the spring as observed at Halley Bay, which was becoming more severe with each year. Ozonesonde measurements from Syowa station in Antarctica (Chubachi et al. 1984) and later McMurdo (Hofmann et al. 1986) that showed that the lower stratosphere was the locus. Stolarski et al. (1986) used the Nimbus 7 Total Ozone Mapping Spectrometer (TOMS) measurements to show that the phenomenon was widespread, covering nearly all of Antarctica. TOMS makes measurements of the column ozone amounts but gives no data about the vertical structure of the ozone layer. It was well known at the time that column ozone data could be strongly influenced by the dynamics of the lower stratosphere. Indeed, TOMS was originally

The Rise and Fall of Dynamical Theories of the Ozone Hole

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developed as a meteorological instrument for studying upper tropospheric motion. Southern hemisphere, large-scale waves were clearly visible in the TOMS data (Schoeberl & Krueger 1983), and these ozone waves were caused by the upward and downward motion of the tropopause—the boundary between the ozone rich stratosphere and the ozone poor troposphere. Low ozone was correlated with colder temperatures and tropopause uplift and higher ozone was correlated with warmer temperatures and downwelling. In 1985 there were virtually no observations of the trace gases involved in Antarctic stratospheric ozone chemistry—although some ground-based, column measurements of trace gases were being made at Palmer station (Cronn et al. 1986). It was also known that the lower stratosphere was extremely cold and that polar stratospheric clouds (PSCs) were a persistent Antarctic winter feature (Douglass & Stanford 1982; McCormick et al. 1982). Finally, meteorologists knew that the Antarctic stratosphere was contained within an enormous vortex. This vortex forms in the fall as the polar stratosphere radiatively cools creating a thermal contrast with middle latitude air. As the cooler polar air sinks, warmer air moves northward to replace the sinking cool air and a strong wind jet forms when the Coriolis force deflects the air eastward. This vortex is sometimes called the polar night jet. Aerosol/ozonesonde measurements by Hofmann et al. (1986) showed that air on the cyclonic (poleward) side of the jet had very different characteristics from air equatorward of the jet. It was also apparent from the TOMS ozone images that the ozone depletion was roughly confined to the region interior to the jet. Observations also showed that there appeared to be a springtime cooling trend in the lower stratosphere that was highly correlated with ozone decrease (Sekiguchi 1986; Chubachi 1986; Angel 1986; Newman & Schoeberl 1986). These papers summarized the data available to the community prior to the NOZE I ground-based expedition in the summer of 1986.

Theories of the Ozone Hole Under “normal” mid-latitude conditions, the primary catalytic cycle by which chlorine destroys ozone is Cl + O3 → ClO + O2 ClO + O → Cl + O2

(1) (2)

O + O 3 → 2 O2

(3)

In the above reactions, (2) is the “rate-limiting step,” i.e., the reaction that determines the overall rate of ozone removal. If chlorine released by chlorofluorocarbons (CFCs) is the mechanism to explain the rapid Antarctic ozone decrease, then there are two problems to resolve. In the first place, over 98% of the chlorine released from CFCs is converted to the

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nonreactive reservoir species HCl and ClONO2 . Thus, a mechanism must be found to dramatically alter the partitioning of chlorine in the Antarctic stratosphere in favor of the reactive radical species ClO. In addition, the above catalytic cycle requires sufficient concentrations of atomic oxygen, but the required concentrations to complete (2) are not present in the low solar zenith angle conditions of the Antarctic spring. So the second problem to be solved is to find a catalytic cycle that does not require substantial amounts of atomic oxygen. Following the publication of Farman et al. (1985), Nature published two papers that hypothesized that the ozone hole had a chemical cause. To solve the first problem, Solomon et al. (1986) and McElroy et al. (1986) suggested that more radical chlorine could be made available for ozone loss by moving it from the reservoir gases, HCl and ClONO2 , through heterogeneous reactions on the surfaces of PSCs. Normally these two gases react slowly, if at all, but the following heterogeneous reaction could speed-up the process: HCl (particle) + ClONO2 (particle) → Cl2 + HNO3

(4)

Then upon the return of sunlight at the beginning of Antarctic spring, Cl2 photolyzes to yield reactive chlorine. Of course, a problem with this mechanism is how to prevent the reformation of the reservoir gas ClONO2 . The HNO3 formed in (4) will also photolyze in weak sunlight forming NO2 which can then react with ClO reforming ClONO2 . The net result is that the reservoir shifts from HCl and ClONO2 to mostly ClONO2 which would reduce the reactive chlorine. The heterogeneous reaction could partly solve this problem if the HNO3 remains on the ice thus preventing it from competing in the gas phase reactions. In addition, both of the above papers suggested the heterogeneous reaction ClONO2 + H2 O (particle) → HOCl + HNO3

(5)

as a way to recycle ClONO2 back to nitric acid and, in addition, producing reactive chlorine by photolysis of HOCl. Laboratory studies suggested that both (4) and (5) occurred rapidly on surfaces of reacting vessels (Molina et al. 1985; Rowland et al. 1986), but no information was available on the rates of these reactions on typical PSCs, and both of McElroy et al. (1986) and Solomon et al. (1986) assumed rates sufficiently rapid to effect the necessary chlorine repartioning. The second problem is: “what is the catalytic cycle?” To solve this second problem, Solomon et al. (1986) suggested the following cycle: OH + O3 → HO2 + O2 Cl + O3 → ClO + O2

(6) (7)

HO2 + ClO → HOCl + O2 HOCl + hv → OH + Cl

(8) (9)

2 O3 → 3O2

(10)


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with photolysis of HOCl providing the rate-limiting step. Even though there was some uncertainty in the kinetic data available at the time, the observed ozone loss rate could not be explained through the above cycle without modification of the reaction rates. Nonetheless, it should be noted that the proposed cycle does not require atomic oxygen. McElroy et al. (1986) suggested the cycle Br + O3 → BrO + O2

(11)

Cl + O3 → ClO + O2 BrO + ClO → BrCl + O2

(12) (13)

BrCl + hv → Br + Cl 2O3 → 3O2

(14)

This mechanism would require BrO concentrations of about 25 pptv. Later stratospheric measurements showed that concentrations of BrO are closer to 5 pptv (Brune et al. 1988) so that this mechanism actually ends up accounting for about 20% of the ozone loss, but not all the loss that is observed. The reaction of BrO + ClO can also occur through other channels, one of which produces OClO, which, when photolyzed, would interrupt the cycle. On the other hand, since OClO absorption lines are detectable in the visible, a sensitive spectrometer should be able to detect anomalous amounts of OClO in the stratosphere. The National Ozone Expedition (NOZE) in 1986 included instruments to measure the column OClO (Solomon et al. 1987) and ClO amounts (de Zafra et al. 1987). In the absence of any other mechanisms, detection of OClO and high levels of ClO would probably support the chemical theories or some variant. Tung et al. (1986a) were the first to propose an alternate hypothesis to explain the rapid column ozone loss by spring upwelling. This upwelling would be caused by the heating of the very cold Antarctic lower stratosphere upon return of sunlight, if all the heat went into an upward velocity rather than thermodynamic heating of the air. In the 1986 Geophysical Research Letters special issue on the ozone hole, a number of papers continued to push the idea that dynamical uplift was causing the ozone depletion (Tung et al. 1986b; Fels and Mahlman 1986; Rosenfield & Schoeberl 1986). In that issue, Fels and Mahlman (1986) and Tung (1986b) proposed a dynamical mechanism that would explain the decrease in ozone while also explaining the correlation with the cooling temperature trends. In the Fels and Mahlman (1986) paper, the decrease in temperatures would lead to an increase in polar stratospheric clouds. During the spring, when the sun rises on the Antarctic region, these clouds would be heated and lead to a weak upward then equatorward circulation which would decrease ozone in the polar region and increase ozone in middle latitudes. Stolarski and Schoeberl (1986) calculated from the TOMS data that southern hemisphere ozone was nearly conserved during the ozone hole period consistent with the idea of redistribution. Note that the dynamical theory does not explain the cause of the temperature trend—which is assumed to be some kind of local climate change to which the ozone hole is a response. We note that the appar-

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ent conservation of ozone could also be explained by chemical destruction at high latitudes balanced by chemical production at low latitudes. Because the Antarctic continent is actually a small percent of the area of the globe, only a very small amount of chemical production at low latitudes could mask the loss at the pole. Nonetheless, the dynamical hypothesis appeared to explain the limited observational data known prior to the summer of 1986 such as the close correlation between Antarctic stratospheric temperatures and ozone trends. Just about the time that the 1986 GRL Special Issue came out, the NOZE expedition returned from Antarctica and reported preliminary findings that indeed ozone was disappearing in the lower stratosphere and there were high column amounts of OClO in the Antarctic stratosphere. In addition, measurements of column N2 O did not seem to support the idea of upwelling in the Antarctic stratosphere although there was some uncertainty in the N2 O measurements. In a press conference NOZE scientists announced that the ozone hole was caused by chemical processes. The community was not quick to embrace this conclusion because high levels of OClO are suggestive but not definitive proof of the chemical theory. OClO cannot complete the chemical catalytic cycle so the loss mechanism was still a mystery. NOZE microwave measurements also reported high levels of column ClO, but as with OClO, the location of the enhancement could not be clearly defined as the region of ozone depletion. But NOZE results did suggest the there was a significant amount of chlorine in reactive form in the Antarctic stratosphere consistent with the heterogeneous reaction hypothesis. For the chemical theory proponents, the NOZE expedition was sufficient proof, but NOZE observations did not silence all the skeptics partly because of the lack of a catalytic cycle. NOZE data also could not explain the Antarctic temperature trend, and it was possible that high chlorine levels were simply a by product of altered photochemistry and had little to do with the widespread depletion. Clearly more data were needed. At the end of 1986 the two hypotheses predicted the following: Chemical hypothesis—high sustained levels of ClO correlated with ozone loss during spring. (Also need a mechanism to complete the catalytic cycle.) Dynamical hypothesis—evidence of uplift in ozone or other trace gases during spring. In 1987 specially equipped ER-2 and DC-8 NASA aircraft were staged at Punta Arenas, Chile as part of the Airborne Antarctic Ozone Experiment (AAOE). The ER-2 was equipped with an in situ chlorine monoxide detection instrument (developed in a crash program by James Anderson at Harvard), as well as ozone and long-lived trace gas detectors. However, two important developments occurred before the AAOE expedition was mounted. In early 1987, Molina and Molina (1987) showed that ClO reacts with itself and yields the following catalytic cycle. 2(Cl + O3 → ClO + O2) ClO + ClO + M → Cl2 O2 + M

(15) (16)


Cl2 O2 + hv → Cl + ClOO ClOO + M → Cl + O2

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(17) (18)

2 O 3 → 3 O2 This was the missing piece of the chemical puzzle. The ClO–ClO or dimer reaction does two things: first, it completes the catalytic cycle, but in addition, the squared dependence on chlorine explains why the ozone hole appeared so suddenly even though atmospheric chlorine amounts were rising nearly linearly in the 1980s. Additional laboratory measurements of the thermal stability of the dimer at low temperatures and its photolysis rates confirmed that the above cycle played an important role. The second development was the suggestion that nitric acid trihydrate (NAT, HNO3 + 3 H2 O) could form particles in the lower stratosphere (Toon et al. 1986; Crutzen & Arnold 1986). The condensation of NAT occurs at stratospheric temperatures up to 10◦ C warmer than ice formation temperatures (Hanson & Mauersberger 1988) and these particles would settle out of the stratosphere removing HNO3 (Toon et al. 1986). In short, NAT formation allows for heterogeneous surface reactions and sequestration of HNO3 without ice cloud formation. Stratospheric ice cloud formation is common in the very cold Antarctic winter stratosphere, but the Arctic winter stratosphere is rarely cold enough to form ice clouds over large regions. This result suggested that NAT formation could trigger heterogeneous conversion of chlorine reservoirs to active forms, which could take place in the Arctic winter stratosphere and thus open up the possibility of an Arctic ozone hole. The Airborne Antarctic Ozone Experiment (AAOE) ER-2 data showed that (1) ozone loss was highly correlated with high ClO amounts and that during the ozone loss period, the long-lived trace gases did not ascend in altitude as must occur with dynamical uplift. The dynamical theory was disproved. In addition, Shine (1986) was able to explain the cooling trend in the lower stratosphere as a response to lack of ozone heating rather than an initiator of the dynamical uplift. The AAOE measurements also verified the final component to the chemical hypothesis, mainly, that PSCs could also fall out of the stratosphere and take with them substantial amounts of nitric acid. This “denitrification” was an important element in preventing the reformation of ClONO2 mentioned above. In 1988, a workshop was held to discuss the results of NOZE and AAOE experiments. It was generally agreed that the dynamical theory was dead. Furthermore it was felt that the scientific community needed to pull together in the face of this new environmental threat and show solidarity against the semipermanent cloud of skeptics that surround any environmental issue.

Dynamical Contributions to Ozone Hole Theory The instrumented aircraft used for AAOE provided a wealth of new dynamical data on the Antarctic (and later the Arctic) stratosphere. One important contribution was the demonstration that the Antarctic polar vortex is highly isolated from the rest

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of the stratosphere (Schoeberl & Hartmann 1991). This is important because it is the isolation of the polar region that allows the specialized ozone hole chemistry to function. If the vortex were not isolated, it would be difficult to maintain the cold temperatures required for PSC formation over a wide region. The dynamical theory also raised the general problem of “when you see a change in a trace gas how do you know if it is chemistry of dynamics?” It was answering that question that the role of long-lived trace gases began to emerge as a key measurement giving insight into understanding the circulation of the stratosphere and differentiating chemical from dynamical changes. Using long-lived trace gases allowed scientists to more accurately estimate the chemical loss rates for ozone in the Arctic and Antarctic.

Concluding Remarks The quote at the beginning of this chapter was the starting point for both the chemistry and dynamics communities when confronting the ozone hole problem. The dynamicists thought the ozone hole was dynamical and the chemists thought it was chemical; both hypotheses fit the limited data available in 1985. By posing clear testable hypothesis, it was fairly easy for scientists to make measurements that clarified the situation. In that sense the scientific history of the ozone hole is also a successful scientific story. It would be difficult to assign any one person entire credit for the explanation of the ozone hole although Susan Solomon by lead authoring the first paper on the chemical theory, leading the NOZE expedition, and providing the community leadership on the ozone loss issue is justifiably given the lion’s share. Despite the early results from NOZE, it is generally agreed that the AAOE aircraft measurements provided the definitive proof of a variant of the chemical theory. The paper by Molina and Molina (1987) identifying the dimer reaction was a crucial and sometimes neglected key in solving the mystery of the catalytic chemistry. Even though the dynamical uplift theory could not explain the observations, the atmospheric scientists quickly realized that an important component of understanding the ozone hole was the dynamical isolation of the polar lower stratosphere from the middle latitudes. More detailed information on the ozone hole and polar chemistry can be found in the comprehensive review by Solomon (1999).

References Angel, J. K. (1986). The close relation between Antarctic total-ozone depletion and cooling of the Antarctic low stratosphere. Geophysical Research Letters, 13, 1240–1243. Brune, W. H., Toohey, D. W., Anderson, J. G., Starr, W. L., Vedder, J. F., & Danielsen, E. F. (1988). In situ northern mid-latitude observations of ClO, O3 , and BrO in the wintertime lower stratosphere. Science, 242, 558–562. Chubachi, S. (1984). Preliminary result of ozone observations at Syowa Station from February, 1982 to January, 1983. Memoirs of National Institute of Polar Research Japan Special Issue, 34, 13–20.


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Chubachi, S. (1986). On the cooling of the stratospheric temperature at Syowa Antarctica. Geophys. Res. Lett., 13, 1221–1223. Cronn, D. R. et al. (1986). Atmospheric trace gas trends at Palmer Station, Antarctica: 1982–1985. Geophysical Research Letters, 13, 1272–1275. Crutzen, P. J., & Arnold, F. (1986). Nitric acid cloud formation in the cold Antarctic stratosphere: A major cause for the springtime ‘ozone hole.’ Nature, 324, 651–655. de Zafra, R. L., Jaramillo, M., Parrish, A., Solomon, P., Connor, B., & Barnett, J. (1987). High concentrations of chlorine monoxide at low altitudes in the Antarctic spring stratosphere: Diurnal variation. Nature, 328, 408–411. Douglass, A. R., & Stanford, J. (1982). Model of the Antarctic sink for stratospheric water vapor. Journal of Geophysical Research, 87, 5001–5009. Farman, J. C., Gardiner, B. G., & Shanklin, J. D. (1985). Large losses of total ozone in Antarctica reveal seasonal ClOx /NOx interaction. Nature, 315, 207–210. Fels, S. B., Mahlman, J. D., Schwarzkopf, M. D., & Sinclair, R. W. (1980). Stratospheric sensitivity to perturbations in ozone and carbon dioxide radiative and dynamical response. Journal of Atmospheric Science, 37, 2265–2297. Hanson, D. R., & Mauersberger, K. (1988). The vapor pressures of HNO3 -H2 O solutions. Journal of Physical Chemistry, 92, 6167–6170. Hofmann, D. J., Rosen, J. M., Harder, J. A., & Rolf, S. R. (1986). Ozone and aerosol measurements in the Springtime Antarctic Stratosphere in 1985. Geophysical Research Letters, 13, 1253– 1255. Kuhn, T. (1962). Structure of Scientific Revolutions (1st. ed.). University of Chicago Press: Chicago, IL, p. 168. McCormick, M. P., Steele, H. M., Hamill, P., Chu, W. P., & Swissler, T. J. (1982). Polar stratospheric cloud sightings by SAM II. Journal of Atmospheric Science, 39, 1387–1397. McElroy, M. B., Salawitch, R. J., Wofsy, S. C., & Logan, J. A. (1986). Reductions of Antarctic ozone due to synergistic interactions of chlorine and bromine. Nature, 321, 759–762. Molina, L. T., Molina, M. J., Stachnick, R. A., and Tom, R. D. (1985). An upper limit to the rate of the HCl + ClONO2 reaction. J. Phys. Chem., 89, 3779–3781. Molina, L. T., & Molina, M. J. (1987). Production of Cl2 O2 from the self-reaction of the ClO radical. Journal of Physical Chemistry, 91, 433–436. Newman, P., & Schoeberl, M. R. (1986). October Antarctic temperature and total ozone trends form 1979–1985. Geophysical Research Letters, 13, 1206–121209. Schoeberl, M., & Krueger, A. (1983). Medium scale disturbances in total ozone during southern hemisphere summer. Bulletin of the American Meteorological Society, 1358–1362. Rosenfield, J. R., & Schoeberl, M. R. (1986). Computation of stratospheric heating rates and the diabatic circulation for the Antarctic spring. Geophysical Research Letters, 13, 1339–1342. Rowland, F. S., Sato, S., Khwaja, H., and Elliot, S. M. (1986). The hydrolysis of chlorine nitrate and its possible atmospheric significance. J. Phys. Chem., 90, 1985–1988. Schoeberl, M. R., & Hartmann, D. L. (1991). The dynamics of the polar vortex. Science, 251, 46–52. Sekiguchi, Y. (1986). Antarctic ozone change correlated to the stratospheric temperature field. Geophysical Research Letters, 13, 1202–11205. Shine, K. P. (1986). On the modelled thermal response of the Antarctic stratosphere to a depletion of ozone. Geophysical Research Letters, 13, 1331–1334. Solomon, S., Garcia, R. R., Rowland, F. S., & Wuebbles, D. J. (1986). On the depletion of Antarctic ozone. Nature, 321, 755–758. Solomon, S., Mount, G. H., Sanders, R. W., & Schmeltekopf, A. L. (1987). Visible spectroscopy at McMurdo station, Antarctica, 2, Observations of OClO. Journal of Geophysical Research, 92, 8329–8338. Solomon, S., Stratospheric Ozone Depletion. (1999). A review of concepts and history. Review of Geophysics, 37, doi: 10.1029/1999RG900008. Stolarski, R. S. & Schoeberl, M. R. (1986). Further interpretation of satellite measurement of Antarctic total ozone. Geophysical Research Letters, 13, 1210–1212.

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Stolarski, R. S., Krueger, A. J., Schoeberl, M. R., Mc-Peters, R. D., Newman, P. A., & Alpert, J. C. (1986). Nimbus-7 satellite measurements of the springtime Antarctic ozone decrease. Nature, 322, 808–811. Toon, O. B., Hamill, P., Turco, R. P., & Pinto, J. (1986). Condensation of HNO3 and HCl in the winter polar stratosphere. Geophysical Research Letters, 13, 1284–1287. Tung, K. K. (1986b). On the relationship between the thermal structure of the stratosphere and the seasonal distribution of ozone. Geophysical Research Letters, 13, 1308–1311. Tung, K. K., Ko, M. K. W., Rodriguez, J. M., & Sze, N. D. (1986a). Are Antarctic ozone variations a manifestation of dynamics or chemistry? Nature, 333, 811–814.

Investigations of Climate–Ozone Connections with Coupled Climate–Chemistry Models (CCMs): Another Step Forward Martin Dameris

Abstract Besides the analyses of data derived from field and laboratory measurements, results from numerical models are useful to better understand the thermal and dynamical structure as well as the chemical composition of the Earth’s atmosphere. In the recent past, climate–chemistry models (CCMs) have been developed to investigate the mutual effects of radiative, dynamical, and chemical processes, in particular, to examine the connections of atmospheric chemistry and climate change in detail. These models also provide a basis for the prognostic studies of the future evolution of atmospheric dynamics and chemical composition, for example to assess the timing of recovery of the stratospheric ozone layer. Keywords Brewer–Dobson circulation · climate change · numerical models · ozone recovery · stratosphere

Introduction Climate change affects the evolution of the stratospheric ozone layer through changes in transport, chemical composition, and temperature. In turn, changes to the ozone layer affect climate through radiative processes, and consequential changes in temperature gradients influence atmospheric dynamics. Understanding all the processes involved and their interactions is a complex task because of the fact that many of the feedback mechanisms are nonlinear. Investigations of the relationships and feedbacks betweenozone depletion and climate change processes have demonstrated that a complete understanding of ozone changes requires the consideration of climate change. The increase of well-mixed greenhouse gas concentrations in the atmosphere leads to higher tropospheric temperatures and lower stratospheric temperatures. The chemical composition of the atmosphere is directly affected as many M. Dameris Deutsches Zentrum für Luft- und Raumfahrt e. V., Institut für Physik der Atmosphäre, Oberpfaffenhofen, Germany e-mail: [email protected]


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chemical reactions are temperature dependent. Moreover, changes of the thermal structure modify stratospheric and tropospheric circulation and therefore the transport of trace gases and substances. Hence, the goal is to develop improved and validated numerical models of the atmosphere which consider the feedback of physical, dynamical, and chemical processes, to investigate in detail the composition of the stratosphere and its connections to climate change.

Climate–Chemistry Models (CCMs) Numerical models are appropriate for investigations of the chemical composition and the thermal and dynamical structure of the Earth’s atmosphere. Such “atmospheric models” allow evaluation of different processes and mechanisms, as well as feedbacks. Scientific progress can be achieved by understanding the discrepancies between observations and results derived from different model simulations. Assessments of the future development of atmospheric dynamics and chemistry are typically based on scenario simulations (e.g., assuming different boundary conditions for the future) and sensitivity studies (e.g., to test the impact of specific parameters). In recent years the so-called climate–chemistry models (CCMs) have been developed to investigate specific processes of the atmosphere, with a focus on the stratosphere. This type of model, in particular, allows studying climate– chemistry connections in detail. CCMs are global three-dimensional models of large-scale (spatial resolution of a few 100 km) radiative, chemical, and dynamical processes in the atmosphere over decades, which are interactively coupled to a detailed chemistry module (Fig. 1). Very recently, results derived from different CCMs have been used for the first time in a joint effort to describe the past evolution of the ozone layer and its possible future development. The results of these CCM simulations have been described and discussed in detail in Eyring et al. (2006, 2007) and WMO (2007; Chapters 5 and 6 therein).

Investigations of Climate–Ozone Connections CCMs include good representations of the stratosphere and interactive ozone chemistry and are therefore capable of simulating changes to the ozone layer and their coupling to climate change. These models suggest that ozone recovery will not be a simple reversal of ozone depletion (e.g., Dameris et al. 2006). Rather, the stratospheric cooling from increasing greenhouse gases will, overall, accelerate the recovery of the ozone layer by 10–15 years so that pre-1980 ozone abundances are expected to be reached in the middle of this century, at least in some regions of the stratosphere (see Chapter 5 in WMO 2007). The main reason for this acceleration is that most ozone-destroying homogeneous gas-phase reactions will be slowed as the stratosphere cools. The picture is more complicated in the polar lower stratosphere during winter–spring season, because there lower temperatures will lead to

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Fig. 1 Schematic of a Climate Chemistry Model (CCM) (From WMO 2007, Fig. 5-1)

an increase in the amount of polar stratospheric clouds (PSCs). PSCs are a key-drive for heterogeneous chemical reactions causing ozone depletion, in particular over Antarctica (“ozone hole”). Therefore, the future evolution of polar ozone may differ from that in tropical and middle latitudes. Nevertheless, considering the global amount of total ozone, beyond 2050 a super-recovery of ozone is indicated, that is, the ozone layer may be thicker than ever observed in the last century as the stratosphere continues to cool (Chapter 6 in WMO 2007). So far the consequences of an ozone super-recovery for the stratospheric system and surface climate are unclear. The net effect of radiative, chemical, and dynamical interactions and feedbacks is only poorly understood and quantified at present. There are some other interesting findings which also need more attention. Results derived from different general circulation and climate models (with an interactively coupled ocean model), as well as climate-chemistry models consistently indicate an intensification of the Brewer–Dobson circulation (B–Dc) under conditions of enhanced greenhouse gas concentrations. Not only would such an enhancement in B–Dc reduce the residence time of ozone depleting substances (ODSs) in the atmosphere (e.g., Butchart & Scaife 2001), it would also lead to weaker westerly winds and higher temperatures in the extratropical stratosphere during winter and spring. Such circulation changes would be expected to couple downward to affect surface weather, especially over the Arctic and Europe, where the North Atlantic Oscillation would tend toward its negative phase. So far, the cause(s) and mechanism(s) which drive these changes are unclear (e.g., changes in movement of storm tracks, number of blocking events, near surface wind speed, etc.). Results derived from multi-decadal model simulations with the above-mentioned global models together with long-term observations must be used to identify and

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investigate relevant processes for variations of the B–Dc. It is necessary to determine how these processes will change in a future climate and how they will modify stratospheric dynamics (Baldwin et al. 2007). Climate change on the one hand is expected to modify the motion and mass exchange rates of air and, therefore, the residence time and distribution of chemical substances in the stratosphere. On the other hand, temperature changes have a direct impact on chemical processes since many chemical reaction rates are temperature dependent. Results derived from different numerical simulations with state-of-theart GCMs, climate models, and in particular CCMs, should be further used to analyze individual processes and their feedback mechanisms, and its importance for tropospheric and stratospheric dynamics. Although these models are nonlinear model systems they mostly show a deterministic reaction on prescribed natural and anthropogenic forcings (e.g., Dameris et al. 2005). This provides a solid basis for a systematic investigation of the importance of specific forcings on tropospheric and stratospheric dynamics, and how they may change in a future climate.

Summary What do we know so far? Climate change and ozone depletion already has obviously cooled the stratosphere. CCMs are able to reproduce recent trends in temperature and ozone. Future increases of greenhouse gas concentrations will contribute to the average cooling in the stratosphere. CCMs consistently indicate that the recovery of total ozone will be accelerated in some regions if stratospheric temperatures decreases further. The picture is somewhat unclear in Polar Regions, where a cooler stratosphere will lead to an increase in the amount of polar stratospheric clouds (PSCs), but enhanced dynamic variability could also lead to a net warming and less PSCs. Therefore, the timing of ozone recovery is most likely regionally different. It is obvious that the recovery of the ozone layer will not be a simple reversal of ozone depletion as it was observed in recent years. Moreover, the exchange of air between the troposphere and the stratosphere is predicted to increase due to climate change. The strengthening of the stratospheric circulation (Brewer–Dobson circulation) seems robust as a result of the increased generation of large-scale planetary waves in the troposphere. So far, causes and mechanisms which drive these dynamical changes are unclear and need more investigations.

References Baldwin, M. P., Dameris, M., & Shepherd, T. G. (2007). How will the stratosphere affect climate change? Science, 316(5831), 1576–1577, doi: 10.1126/science.1144303. Butchart, N., & Scaife, A. A. (2001). Removal of chlorofluorocarbons by increased mass exchange between the stratosphere and troposphere in a changing climate. Nature, 410, 799–802. Dameris, M., Grewe, V., Ponater, M., Deckert, R., Eyring, V., Mager, F., et al. (2005). Long-term changes and variability in a transient simulation with a chemistry-climate model employing realistic forcing. Atmospheric Chemistry and Physics, 5, 2121–2145.

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Dameris, M., Matthes, S., Deckert, R., Grewe, V., & Ponater, M. (2006). Solar cycle effect delays onset of ozone recovery. Geophysical Research Letters, 33, L03806, doi: 10.1029/2005GL024741. Eyring, V., Butchart, N., Waugh, D. W., Akiyoshi, H., Austin, J., Bekki, S., et al. (2006). Assessment of temperature, trace species, and ozone in chemistry-climate model simulations of the recent past. Journal of Geophysical Research, 111, D22308, doi: 10.1029/2006JD007327. Eyring, V., Waugh, D. W., Bodeker, G. E., Cordero, E., Akiyoshi, H., Austin, J., et al. (2007). Multi-model projections of stratospheric ozone in the 21st century. Journal of Geophysical Research, 112, D16303, doi: 10.1029/2006JD008332. WMO (World Meteorological Organisation), Scientific Assessment of Ozone Depletion: 2006, 2007: Global Ozone Research and Monitoring Project, Report No. 50, Geneva, Switzerland, ISBN 978-92-807-2756-2.

Stratospheric Ozone Depletion and Tropospheric Chemistry Ivar S.A. Isaksen, Bjørg Rognerud, Stig Dalsøren, and Amund Søvde

Abstract Tropospheric chemistry is affected by stratospheric ozone reduction through the impact of enhanced solar UV-B radiation leading to enhanced levels of the key oxidizer in the troposphere, OH. Model results from the Oslo CTM2 have been analyzed to deduce the impact of changes in stratospheric ozone on tropospheric chemistry, in particular, changes in surface ozone. Three situations are analyzed: (a) A general study of the sensitivity of surface ozone to changes in column ozone changes under different atmospheric conditions (changes in composition), (b) a specific study of the impact during episodes of high ozone levels, and (c) a study of the impact during a period (1980–2000) of significant ozone depletion. In all cases it is found that tropospheric chemistry (OH, O3 ) is perturbated, but processes are nonlinear and the ozone perturbation is determined by the distribution of the ozone precursor NOx . Column ozone reduction could be both positive and negative. We find agreement with observations in the few cases where comparisons can be made. Keywords Depletion · ozone · stratospheric ozone · tropospheric chemistry · UV-B

Introduction The stratospheric ozone layer is important for tropospheric chemistry for filtering shortwave solar flux, for initiating the photochemical hydroxyl radical production and thus initiating the processes leading to the formation and destruction of ozone (Isaksen et al. 2005). The decline in the ozone column densities in particular observed during the 1980s and 1990s is found to affect UV-B radiation reaching

I.S.A. Isaksen (B), B. Rognerud, S. Dalsøren, and A. Søvde Department of Geosciences University of Oslo, Norway e-mail: [email protected]


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the troposphere, thereby affecting the oxidation processes (Fuglestvedt et al. 1994; Zerefos 2002). Reduced ozone levels during this period have led to enhanced flux of short wave solar radiation both at the northern and southern latitudes with significant impact on ozone (WMO 1995, 1999; Zerefos et al. 1997; Zerefos 2002; Ziemke et al. 2000; Isaksen et al. 2005). Changes in column ozone and concurrent change in surface irradiance at two wavelengths for the last 2 decades are shown in Fig. 1. In a study by Granier et al. (1996), it is suggested that stratospheric ozone depletion with enhanced UV-B penetration into the troposphere, has a different impact on ozone, depending on season, location, and composition of chemical compounds affecting the nonlinear ozone chemistry (Solomon et al. 2003). The result of enhanced penetration of solar UV-B radiation, and therefore enhanced photochemical activity is to enhance ozone levels in polluted regions, while ozone levels are reduced in pristine parts of the atmosphere. Tropospheric ozone is determined by (a) influx from the stratosphere and (b) in situ ozone production and loss in the troposphere. Ozone is controlled by dynamical and chemical processes acting on different time scales, and hence, the influence on surface UV-B and related tropospheric ozone chemistry act on different time scales. A study by Schnell et al. (1991) showed a negative trend in surface ozone at the South Pole Station possibly induced by enhanced stratospheric ozone depletion. Furthermore, Taalas et al. (1997), analysed ozonesonde data and concluded that

Fig. 1 Ozone reduction and increased surface UV radiation (Update from Zerefos et al. 2001 through November 2006; Zerefos, private communications)

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springtime stratospheric ozone loss has a pronounced impact on upper tropospheric ozone (6–8 km) in both hemispheres (-12.8% in the Antarctica and -10% in the Arctic from 1988 to 1994). At surface levels, the study by Isaksen et al. (2005), comparing model results with observations, showed significant in situ ozone loss at pristine background stations like Samoa and Manu Loa when stratospheric ozone column was reduced. Observational evidence of changes in tropical tropospheric ozone associated with the stratospheric ozone changes on a time scale of the 11year solar cycle has been identified using the TCO (tropospheric column ozone) data derived from the TOMS satellite data (Chandra et al. 1999). In this chapter we will apply a global scale CTM (chemical transport model) to demonstrate the sensitivity of surface ozone production to changes in stratospheric ozone, the importance of column ozone variations in connection with strong ozone episodes like that in 2003 over Europe, and finally the impact of long-term ozone depletion on the tropospheric chemistry.

Tropospheric Ozone Photochemistry and UV-B Changes The key reactions in the troposphere initiating the ozone chemistry is ozone photodissociation leading to the formation of the hydroxyl radical, followed by reaction with water vapor: O3 + hν → O(1 D) + O2 (λ < 320 nm)

(R1)

O( D) + H2 O → OH + OH

(R2)

1

Stratospheric ozone changes affect tropospheric chemistry through its impact on UV-B radiation penetrating into the troposphere. Although all chemical compounds dissociated in the troposphere by radiation in the UV-B region are affected by stratospheric ozone changes (e.g., CH2 O, H2 O2 , NO2 , aldehydes) the key reaction affected by stratospheric ozone changes is the photodissociation of ozone (R1) (Fuglestvedt et al. 1994). Changes in OH formation are followed by changes in a large number of chemical reactions that can lead to either ozone loss or production, depending on the local chemical composition in the troposphere. The distribution of NOx in the troposphere is the key to ozone formation. In regions of high NOx , ozone formation occurs through the following sequence of reactions (see Fig. 2): NO + HO2 → NO2 + OH NO2 + hν → NO + O(λ < 400 nm)

(R3) (R4)

O + O 2 + M → O3 + M

(R5)

A key point here is that NO and NO2 are reformed and can go through a number of ozone-forming cycle, without being lost. The final loss of NOx molecules is determined by reaction:

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NO2 + OH + M → HNO3 + M

(R6)

Important reactions in the recycle process for ozone formation are the main loss reactions for OH, carbon monoxide (CO), and methane (CH4 ) CO + OH → CO2 + H

(R7)

H + O2 + M → HO2 + M CH4 + OH → CH3 + H2O

(R8) (R9)

CH3 + . . .. . .. → HO2 + H2 O

(R10)

This sequence of reactions is important for tropospheric ozone in regions with high NOx levels. In regions of the troposphere with low NOx , reactions R1 and R2 are followed by the reactions below to give ozone loss: O3 + OH → HO2 + O2 O3 + HO2 → 2OH + O2

(R11) (R12)

There are a large number of additional components and chemical reactions included in the chemistry calculations done in the box model and three-dimensional (3-D) model simulations presented here. These reactions will modify distributions of key compounds for the ozone chemistry and for the atmospheric oxidation potential. For instance, several other nitrogen oxide compounds are formed (e.g., PANs, N2 O5 , HO2 NO2 ), which affect NO and NO2 distributions, and therefore the formation and destruction of ozone and species like H2 O2 and OH. In the perturbation calculations with reduced ozone column densities, changes in UV-B radiation are taken into account in photodissociation rates for all compounds affected by UV-B radiation.

Ozone Loss and Production in the Troposphere Since we are dealing with tropospheric regions with net ozone destruction and regions with net ozone production, it is important to address the main indicator, determining the transition region. Crutzen (1979) showed that the transition between photochemical regimes of ozone formation and destruction in the troposphere is determined by the amount of NOx (NO + NO2 ) present. In remote background regions, with low NOx , net ozone loss occurs, while in tropospheric regions with high NOx , ozone production dominates. Several studies have demonstrated that ozone loss takes place in the remote unpolluted troposphere (e.g., Liu et al. 1983). The anti-correlation found in diurnal and seasonal variations of O3 and H2 O2 (Ayers et al. 1992) points to net ozone loss during photochemically active time periods. Based on observations of key chemical compounds, Ridley et al. (1992) estimated a net ozone loss 0.5 ppb/day (∼1%/day)


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(DO3/O3)/(DTO/ TO)

1 summer, CO=200 ppbv summer, CO=100 ppbv winter, CO=300 ppbv

0.8 0.6 0.4 0.2 0 −0.2 −0.4 −0.6 −0.8 −1 0.001

0.01

0.1

1

10

NOx (ppbv) Fig. 2 Modelled sensitivity (ΔO3 /O3 )/(ΔTO/TO) for varying NOx concentrations for midsummer and mid-winter conditions and for different CO levels. The H2 O concentration was set to 10 g/kg

in the free troposphere near 3.4 km altitude at Mauna Loa. In the study by Isaksen et al. (2005), applying the global scale 3-D CTM and a chemical box model in combination with the analysis of ozone data, it was shown that the short-term (days to weeks) variation in stratospheric ozone enforces significant changes in tropospheric photochemistry and in the ozone distribution. To demonstrate the importance of the NOx levels for ozone production Fig. 2 gives the relative value of ozone change to column change for varying NOx levels for mid-latitude summer and winter conditions, and different pollution levels. It is shown that the crossover point from net ozone production to net ozone loss is in the range 30–100 ppt, and is season-dependant. A positive number in the figure (to the left) means that enhanced flux due to reduced ozone column gives net ozone loss (through reactions R1, R2, R11, and R12). While reactions R3–R6 gives net ozone production (right-hand side of the figure), it can be seen that at very high NOx levels (10 ppb or above) the impact of changed ozone column on tropospheric ozone levels becomes small, a result of efficient ozone loss through reaction R6 (removal of NO2 ). We should notice that both low and high threshold levels might change significantly due to atmospheric conditions and pollution levels.

Model Studies Using Oslo CTM2 The Oslo CTM2 has been used to study the impact of stratospheric changes on tropospheric distributions that is reported in this chapter. The three-dimensional Oslo CTM2 is an off-line Chemical Transport Model (CTM) that uses pre-calculated transport and physical fields to simulate chemical turnover and distribution in the atmosphere. The model has an extensive chemistry and covers the troposphere

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and the stratosphere. Horizontal and vertical resolutions are determined by the input data provided. The model can be run in horizontal resolutions ranging from 1.0◦ × 1.0◦ to 5.7◦ × 5.7◦ . Meteorological input data are available for 1997 and for the period 2000–2008. A description of the model and its performance can be found in Berntsen & Isaksen (1999), Grini et al. (2002), Isaksen et al. (2005), Gauss et al. (2006), and Sovde et al. (2008). In the studies reported here the focus is on the troposphere. To obtain representative concentration fields a 15-month simulation was done with the OsloCTM2 model using meteorological data for 1997. The run was initialized with chemical distributions from a previous run with a simulation time of 1 year. Calculated surface distribution of ozone for January and July is shown in Fig. 3. The figure clearly demonstrates the impact of the ozone precursors NOx , CO, and VOC (Volatile organic compounds) on the distribution over polluted regions, and the low values over remote oceanic regions. It also demonstrates the large seasonality in the efficiency of ozone formation, particularly over industrial regions at northern latitudes. Over Europe and partly over continental North America surface ozone levels are very low (less than 10 ppb) in January. In July southern Europe/Mediterranean and east coast US surface values exceed 50 ppb. Similar high values are found in eastern China. Perturbation experiments were performed where the stratospheric ozone column densities were reduced globally by 10%. The runs were for two selected time periods of 4 months, representing summer and winter seasons in the two hemispheres. The column ozone reductions lead to enhanced UV-B fluxes, and thereby enhanced photodissociation of chemical compounds and in particular ozone, through reaction R1. A change of 10% is chosen, to represent moderate variations in ozone column changes. The perturbation takes into account only the effect of changes in the photodissociation rates, and not the effect of stratospheric ozone changes through changes in the influx of ozone, which could be significant. The differences between the tropospheric ozone distributions calculated with the reduced ozone column and

Fig. 3 Monthly averaged (estimated with the Oslo CTM2) surface layer ozone for January and July


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with standard ozone column are shown in Fig. 4 for January and July. Negative surface ozone shows reduced values with enhanced solar UV-B flux, while positive values mean net production of ozone with enhanced flux. A common feature in both model runs is the pronounced surface ozone reduction for enhanced UV-B fluxes in the pristine oceanic regions, particularly at low latitudes. One important feature is the role of atmospheric mixing between the low NOx free troposphere and the planetary boundary layer (PBL) which seems to extend the regions of ozone reductions, particularly in the July calculations. Surface ozone is reduced over large areas from the enhanced ozone loss in the free troposphere. To study how well the model represent the relation between changes in ozone column and surface ozone comparisons were made with analysis of observations from surface stations (Isaksen et al. 2005). Observations from three selected surface stations were made and compared with modelled distribution and changes: Hohenpeissenberg at mid-northern latitudes (48◦ N), representing moderately polluted European regions, Mauna Loa at low northern latitudes (19◦ N), and Samoa at low southern latitudes, representing more pristine background regions. Table 1 depicts the ozone sensitivity at the three selected sites based on the Oslo CTM2 model runs and on the analysis of ozone observations at the three sites. The largest positive sensitivity is found for the background site, Samoa, both in the model results and in the measurements, as expected from theory, with higher values in the summer season (Dec–Feb) than in the winter season (Jun–Aug). Here the agreement is good even if the amplitude is larger in the measurements. At Mauna Loa the modelled sensitivity is positive for both winter (January) and summer (July), 0.44 and 0.53, respectively. The analysis of the measurements shows a change from nearly zero sensitivity in the winter/spring to a positive sensitivity of 1.0 in the summer/autumn. The change in sensitivity from winter to summer, which is particularly pronounced in the measurements, is probably linked to seasonal differences in transport of pollutants from Asia. The tropospheric ozone sensitivity is similar in the observations and the model simulations for Hohenpeissenberg during the

Mixing Ratio v/v average Jan 1997

T42 (2.8* 2.8) Level 999. hpa OZONE

Scalefactor 1.0E+09

LATITUDE

Scalefactor 1.0E+09

LATITUDE

Mixing Ratio v/v average Jul 1997

T42 (2.8* 2.8) Level 999. hpa OZONE

LONGITUDE –3. –2.25 –1.875 –1.5 –1.125 –.75 –.375

0

.142 .285 .428 .571 .714 .857 1.016

Ecmwf T42 40L Min = –2.264E+00 Max = 1.016E+00 (Oslo CTM2, Dept. of Geophysics, University of Oslo)

LONGITUDE –3. –2.25 –1.875 –1.5 –1.125 –.75 –.375

0

.142 .285 .428 .571 .714 .857 1.28

Ecmwf T42 40L Min = –2.248E+00 Max = 1.280E+00 (Oslo CTM2, Dept. of Geophysics, University of Oslo)

Fig. 4 Model calculations (Oslo CTM2) of surface ozone change (ppb) from a 10% reduction in total ozone column (January and July)

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Table 1 Correlation between observations and model studies Station Sensitivity %Oslo CTM2 Sensitivity % (Observed) 1) (a) (b) 2) (a) (b) 3) (a) (b)

−0.28 0.09 0.44 0.53 0.79 1.66

−0.3 −0.7 0.0 1.0 3.7 2.2

Sensitivity ΔO3 /O3 /(ΔTO/TO) in ozone perturbation to column change for atmospheric conditions at Hohenpeissenberg (1), Mauna Loa (2), and Samoa (3) during July (a) and January (b)

winter months (January), with a negative value. However, there are significant differences between the model calculations and the measurements during the summer season (July). It has been shown (Isaksen et al. 2005) that the summertime surface ozone values over Europe is dominated by ozone production during high pressure situations which correlates differently with ozone column changes.

Impact During Surface Ozone Episodes High level surface ozone episodes during high pressure situations are affected by several factors like reduced ozone deposition, higher temperatures affecting chemical reactions, changes in absolute amounts of water vapour, changes in biogenic emissions affecting the ozone chemistry, and reduced total ozone column leading to enhanced photochemical activity. In a recent paper Solberg et al. (2008) demonstrated through a number of sensitivity analysis how different factors influenced the surface ozone over Europe during the summer 2003 heat wave. We have made an extensive analysis of the impact of reduced ozone column density during the 2003 August ozone episode over Europe. A sensitivity model run is made where ozone columns are reduced with 10% (confined to ozone in the stratosphere) and compared with the standard run without ozone column reduction. Ozone and surface NOx are depicted in Fig. 5 along with the changes in surface ozone due to the 10% ozone column reduction. NOx , the main ozone precursors is seen to vary strongly with peak values along the coast of the Netherlands and over western part of Great Britain. Max ozone is however found over central part of England and France due to titration effect which reduces ozone levels. The impact of reduced ozone column on surface ozone levels during the high ozone episode show large variation, which to a large extent follow the NOx variation as was demonstrated in Fig. 2. In the region of the highest NOx levels, enhanced photochemical activity leads to reduced ozone due to the efficiency of the loss reaction R6. More moderate NOx levels favour excess ozone formation through reactions R3 to R5. High impact is found over southern Spain, southern France, and the

Stratospheric Ozone Depletion and Tropospheric Chemistry dO3(surface) [ppbv] due to -10% O3-col at 12UTC August 8. 2003

–2.2

–0.8

0.6

2.0 0.0

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NOx (Surface) [ppbv] at 12UTC August 8. 2003

4.3

8.7

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O3(surface) [ppbv] at 12UTC August 8. 2003

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106.2

Fig. 5 Model-calculated surface NOx levels (ppb, upper left), surface ozone levels (ppb, upper right), and changes in surface ozone (ppb, lower) from a 10% reduction in column ozone

Mediterranean. Considering the high values of surface ozone that was observed and modelled during the August high pressure situation (in excess of 100 ppb under the most extreme conditions) changes are moderate.

Impact of Tropospheric Chemistry from Ozone Depletion 1980 to 2000 The Oslo CTM2 has been used to investigate chemical changes from emission of ozone depleting substances (stratospheric effect) and ozone precursors (mainly tropospheric and lower stratospheric effects) over different time periods. Here we discuss the atmospheric change during the main period of stratospheric ozone depletion (1980 to 2000). Time slice calculations for the two selected years are performed.

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Fig. 6 Calculated OH (upper panel) and ozone (lower panel) changes in March and October (in%) between 1980 and 2000 with the Oslo CTM2

The same dynamics are applied, but emissions are different and representative for the 2 years. The zonal average impact on OH and ozone is shown in Fig. 6 for March and October for OH (upper panel) and for ozone (lower panel). Stratospheric changes are significant both for OH and ozone. It is also seen that the pattern is highly different for the two seasons depicted. The impact of ozone-depleting substances is particularly pronounced in the October Figure. Ozone is strongly reduced during October in the Polar Region, leading to enhanced OH values. Since tropospheric pollution is rather small at southern latitudes, we can clearly detect the impact of stratospheric reduction on the tropospheric chemistry. OH is strongly enhanced and ozone is reduced during October. The enhanced OH is a result of enhanced photodissociation. Ozone is reduced, partly due to reduced fluxes from the stratosphere, and partly due to enhanced ozone loss in the pristine southern hemisphere. Ozone reduction takes place in most of the southern hemispheric troposphere. In the northern hemisphere the impact of stratospheric loss is less significant, and furthermore, the signal is masked by the effect from pollution in the troposphere. There are however some indication of impact in the distribution of ozone. We have made some comparisons with observed ozone changes in the southern hemisphere during the time period considered and find a less clear trend in the observations than in the model output.


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The enhanced OH in the troposphere from increased solar UV-B fluxes is estimated to have affected (reduced) the methane lifetime during the 1980–2000 time period. This reduced lifetime could have contributed to the reduced methane growth observed during this period.

Conclusions Reduced total ozone column densities are estimated to have reduced surface ozone in unpolluted regions and enhanced ozone levels in polluted regions. Analysis of observational data is in agreement with the model estimates in low NOx regions. Comparison with observations for moderate polluted regions is less clear. During periods of extreme ozone episodes, like that in August 2003 in Europe, analysis of the impact on tropospheric ozone chemistry of changes in total ozone column is found to be highly nonlinear and NOx -dependant. In particular, very high NOx levels are found to give negative response in ozone levels to enhanced photochemical activity. Model studies give significant tropospheric impacts from reduced stratospheric ozone between 1980 and 2000, with enhanced OH and reduced O3 levels, following the months of large ozone depletion in polar (Antarctic) regions. Although observations indicate some decreases in surface ozone in the southern hemisphere, the observed trends are less clear. It is found that part of the decline observed in methane growth rate during the 1980s and 1990s can be a result of the observed ozone depletion during this time period.

References Ayers, G. P., Penkett, S. A., Gillet, R. W., Bandy, B., Galbally, I. E., Meyer, C. P., et al. (1992). Evidence for photochemical control of ozone concentrations in unpolluted marine air. Nature, 360, 446–449. Berntsen, T., & Isaksen, I. S. A. (1999). Effects of lightning and convection on changes in tropospheric ozone due to NOx emissions from aircraft. Tellus, 51B, 766–788. Chandra, S., Ziemke, J. R., & Stewart, R. W. (1999). An 11-year solar cycle in tropospheric ozone from TOMS measurements. Geophysical Research Letters, 26(2), 185–188. Crutzen, P. J., (1979). The role of NO and NO2 in the chemistry of the troposphere and stratosphere. Annual Review of Earth Planetary Science, 7, 443–472. Fuglestvedt, J. S., Jonson, J. E., & Isaksen, I. S. A. (1994). Effects of reductions in stratospheric ozone on tropospheric chemistry. Tellus, 46, 172–192. Gauss, M., Myhre, G., Isaksen, I. S. A., Grewe, V., Pitari, G., Wild, O., et al. (2006). Radiative forcing since preindustrial times due to ozone change in the troposphere and the lower stratosphere. Atmospheric Chemistry and Physics, 6, 575–599. Granier, C., Muller, J. F., Madronich, S., & Brasseur, G. P. (1996). Possible causes for the 1990–1993 decrease in the global tropospheric CO abundances: A three- dimensional study. Atmospheric Environonment, V30(10), 1673–1682.

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Grini, A., Myhre, G., & Sundet, J. (2002). I. S. A. Isaksen, Modelling the annual cycle of sea salt in the global 3-D model Oslo CTM-2, concentration, fluxes and radiative impact. Journal of Climate, v15(13), 1717–1730. Isaksen, I. S. A., Zerefos, C., Kourtidis, K., Meleti, C., Dalsøren, S. B., Sundet, J. K., et al. (2005). Tropospheric ozone changes at unpolluted and semi-polluted regions induced by stratospheric ozone changes. Journal of Geophysical. Research, V110, DO2302, doi: 10.1029/2004JD004618. Liu, S. C., McFarland, M., Kley, D., Zafiriou, O., & Hubert, B. (1983). Tropospheric NOx and O3 budgets in the equatorial Pacific. Journal of Geophysical Research, 88, 1349–1368. Ridley, B. A., Madronich, S., Chatfield, R. B., Walega, J. G., Shetter, R. E., Carroll, M. A., et al. (1992). Measurements and model simulations of the photostationary state during the Mauna Loa Observatory Photochemistry Experiment: Implications for radical concentrations and ozone production and loss rates. Journal of Geophysical Research, 97(D7), 10375–10388. Schnell, R. C., Liu, S. C., Oltmans, S. J., Stone, R. S., Hofmann, D. J., Dutton, E. G., et al. (1991). Decrease of summer tropospheric ozone concentrations in Antarctica. Nature, 351, 726–729. Solberg, S., Hov, Ø., Søvde, A., Isaksen, I. S. A., Coddeville, P., De Backer, H., et al. (2008). European surface ozone in the extreme summer 2003. Journal of Geophysical Research, 113, D07307, doi: 10.1029/2007JD009098. Solomon, K. R., Tang, X., Wilson, S. R., Zanis, P., & Bais, A. F. (2003). Changes in tropospheric composition and air quality due to stratospheric ozone depletion. Photochemical and Photobiological Science, 2, 62–67. Sovde, O. A., Gauss, M., Smyshlyaev, S. P., & Isaksen, I. S. A. (2008). Evaluation of the chemical transport model Oslo CTM2 with focus on arctic winter ozone depletion. JGR, 113, D09304. Taalas, P., Damski, J., Kyroe, E., Ginzbourg, M., & Talamoni, G. (1997). Effect of stratospheric ozone variations on UV radiation and on tropospheric ozone at high latitudes. Journal of Geophysical Research, 102(D1), 1533–1539. WMO (World Meteorological Organization). (1994). Scientific Assessment of Ozone Depletion: 1998; Global Ozone Research Monitoring Project Report No 37, Geneva, Switzerland, 1995. WMO (World Meteorological Organization). (1998). Scientific Assessment of Ozone Depletion: 1998; Global Ozone Research Monitoring Project Report No 44, Geneva, Switzerland, 1999. Zerefos, C. S. (2002). Long-term ozone and UV variations at Thessaloniki, Greece. Physics and Chemistry of the Earth, 27, 455–460. Zerefos, C. S., Balis, D. S., Bais, A. F., Gillotay, D., Simon, P. C., Mayer, B., et al. (1997). Variability of UV-B at four Stations in Europe. Geophysical Research Letters, 24(11), 1363–1366. Ziemke, J. R., Chandra, S., Herman, J., & Varotsos, C. (2000). Erythemally weighted UV trends over Northern latitudes derived from Nimbus-7 TOMS measurements. Journal of Geophysical Research, 105(D6), 7373–7382.

Tropospheric Ozone Climate–Chemistry Interaction: Aspects of Climate Changes Wei-Chyung Wang and Hirohisa Tanaka

Abstract The State University of New York at Albany (SUNYA) global tropospheric climate-chemistry model (GCCM) was used to study the effect of climate changes (clouds, moisture, and temperature) caused by the increase of greenhouse gases on tropospheric ozone (O3 ). Preliminary results of simulated O3 changes over East Asia, North America, and Europe are presented and discussed within the context of simulated O3 changes due to changes in surface emissions of O3 precursor gases. The results indicate that the surface emissions dominate the tropospheric O3 changes over the three regions, while the regional climate changes play a relatively minor role. Keywords Climate–chemistry interaction · global warming · regional climate change · tropospheric ozone · upper troposphere and lower stratosphere

Introduction Atmospheric O3 absorbs solar radiation and traps the thermal radiation (see Fig. 1), thus playing an important role in determining the thermal structure of the stratosphere and influencing the radiative budget of the troposphere–surface climate system. It is also known, from model sensitivity studies (Wang & Sze 1980; Wang et al. 1980; Lacis et al. 1990), that the surface temperature is more sensitive to O3 changes in the upper troposphere and lower stratosphere. In addition, O3 is a chemical species and its spatial distribution is intimately coupled with many components and processes of the climate system (temperature, wind, moisture, clouds, solar radiation; see Fig. 2); therefore climate changes, such as the global warming caused by the enhanced greenhouse effect due to increases of CO2 , CH4 , N2 O, and chlorofluorocarbons (CFCs), may affect O3 . Consequently, W.-C. Wang (B) and H. Tanaka Atmospheric Sciences Research Center, State University of New York at Albany, Albany, New York 12203, USA e-mails: [email protected]; [email protected]


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Important Radiative-Forcing Constituents Solar Radiation

Thermal Radiation Stratopause (50 km)

band

Aerosols

O3 (500-700 nm) Chappuis band

Aerosols

CO2

T

O3 (9.6 & 14 µm)

Tropopause (12 km)

Stratosphere

O3 (200-290 nm) Hartley 20 km

Cirrus, H2O

Cirrus 8 km

UV(290-340 nm) Huggins band

Clouds, H2O

Clouds Aerosols

Fig. 1 Atmospheric temperature distribution, regions where the radiatively important constituents dominate, and their spectral bands attenuate the solar and thermal radiation

Tropospheric Climate-Chemistry Interaction SUNYA CCM3

Dry Deposition

Clouds and Surface for J-values

H2O Source of HOx

U, V, and T for Transport and Kinetics

Wet Deposition

Ozone, Sulfates Emissions Surface, aircraft, lightening O3-NOx-CO-VOCs Chemistry

UiO Chemistry

Sulfur Chemistry

Fig. 2 The climate processes and parameters that affect the atmospheric ozone and sulfates. The global climate-chemistry model is based on the incorporation of University of Oslo’s chemistry into SUNYA CCM3 (See Wong et al. 2004)

climate–chemistry interaction, which concerns feedbacks between changes in climate and O3 , is an important aspect of studying atmospheric O3 changes related to both the natural and anthropogenic activity. It is expected that the feedbacks may have a strong regional dependence, since both the climate states and surface emissions of O3 precursors exhibit distinctively different characteristics; for example, East Asia, which showed significant increases in surface emissions in recent decades, is influenced by the monsoon with heavy precipitation in summer and cold surges in winter.

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Although many coupling mechanisms between climate and O3 are understood, the net effect of the impacts of climate change on O3 change and vice versa has significant uncertainties,particularly, in the troposphere. Atmospheric O3 climate– chemistry interaction has been studied using 1-D (in height) model considering temperature change (Wang & Sze 1980; Wang et al. 1980), but in recent years, 3-D models were employed, including the chemical transport model (Stevenson et al. 2000) with prescribed meteorology and climate-chemistry model (CCM; Wong et al. 2004; Liao et al. 2006; Unger et al. 2006) with simulated meteorology. Here, we present some preliminary results of a 3-D model study of the relative role of “climate changes due to increasing greenhouse gases” and “increases of surface emissions of O3 precursor gases” in affecting tropospheric O3 over East Asia, North-America, and Europe because of large differences in surface emissions and climate changes.

SUNYA GCCM Simulation The SUNYA global tropospheric CCM (Wong et al. 2004) was employed to conduct three model simulations (MS) in which the O3 -climate forcing agents are the atmospheric greenhouse gases’ concentrations and the surface emissions specified as follows: • MS1 (The present-day climate): 1990 greenhouse gases and surface emissions • MS2 (Future climate): 2100 greenhouse gases and surface emissions (Special Report on Emissions Scenarios-A2 scenario) (Intergovernmental Panel on Climate Change (IPCC) 2001) • MS3 (Future climate): 2100 greenhouse gases and 1990 surface emissions Note that the simulations were conducted for all three runs using the same prescribed sea surface temperature (Gates et al. 1999), so only the land surface temperatures can respond to these forcing changes. Difference between MS1 and MS2 reveals the tropospheric O3 changes due to both increased surface emissions and climate warming, while between MS1 and MS3 it reveals only the changes due to climate warming. Comparisons of the differences between these two sets will provide indications of the relative role of climate warming versus increased surface emissions in affecting the tropospheric O3 . By the time this book is written, MS1 was run for 10 years while MS2 and MS3 were run for 5 years each. One important aspect in the study of tropospheric O3 changes is the model inter-annual variability—the model inherent “noise” which is critical when comparing the “signal” of climate changes. For example, the means and standard deviations of several key tropospheric climate parameters of the simulated present-day climate (MS1) are shown in Table 1. Note that while the interannual variability is small on the global mean basis (e.g., 0.02◦ C for surface air temperature), is much larger on the regional scales (e.g., 0.49◦ C over East Asia). Moreover, much larger variability is identified for column moisture and cloud cover,

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Table 1 Last 5-years mean and standard deviation (in parenthesis) of surface-air temperature (Ts , ◦ C), tropospheric mean temperature (T ◦ tropo , C), tropospheric column water vapor (WV, mm), total cloud cover (CLD, %), and tropospheric column ozone (O3 , DU) of the present-day climate simulation for globe, East Asia (105–122◦ E; 23–43◦ N), North America (255–295◦ E; 25–50◦ N), and Europe (0–30◦ E; 35–65◦ N) Globe

East Asia

Ts 15.3 (0.02) 12.6 (0.49) Ttropo −19.5 (0.02) −18.2 (0.23) WV 23.6 (0.04) 25.0 (0.90) CLD 60.5 (0.08) 58.7 (3.50) O3 29.4 (0.06) 42.5 (0.21)

North America 13.9 (0.17) −19.4 (0.10) 18.0 (0.37) 47.1 (0.79) 38.1 (0.31)

Europe 11.7 (0.14) −22.7 (0.11) 15.6 (0.14) 54.4 (1.30) 35.3 (0.32)

Table 2 Model simulated changes in climate parameters and tropospheric O3 due to (a) climate warming and increased surface emissions, and (b) climate warming only (in parenthesis). See Table 1 for units and the domain of regions

Ts Ttropo WV CLD O3

Globe

East Asia

North America

Europe

2.27 (2.28) 2.81 (2.84) 4.57 (4.55) −0.26 (−0.30) 5.76 (−1.03)

3.01 (2.73) 3.22 (2.94) 5.53 (3.31) 2.61 (−4.37) 14.64 (−0.62)

2.50 (2.07) 2.82 (2.67) 2.83 (3.02) −0.52 (−0.61) 11.21 (−0.99)

2.43 (2.62) 2.71 (2.75) 2.48 (2.60) −4.24 (−2.35) 10.44 (−0.68)

particularly, over East Asia. The implication here is that the model needs to run longer to reach quasi-equilibrium so that the “noise” (e.g., variation in total cloud cover) is much smaller than the “signal” (e.g., changes in total cloud cover due to climate changes). To study the future tropospheric O3 changes, we compare the last (fifth) year simulations of MS2 and MS3 with the means averaged over the last 5-years of MS1, and the results are shown in Table 2. In (MS2–MS1), change in global mean tropospheric column O3 caused by combined climate warming and increased surface emissions is calculated to be an increase of 5.8 DU, with larger increases of 14.6, 11.2, and 10.4 DU over East Asia, North America, and Europe, respectively. However, in (MS3–MS1) in which only climate warming is considered, the regional O3 changes are negative with magnitude more than a factor of ten smaller. Thus these results imply that the surface emissions dominate the tropospheric O3 changes over the three regions, while the climate warming plays a relatively minor role. Nevertheless, further diagnostic analysis is ongoing to understand whether the small effect is a result of large but compensating effects; for example, temperature rise leads to more O3 production, but an increase of water vapor in the troposphere causes more O3 destruction through increased OH. In addition, the issue of interannual variability mentioned above will also be addressed through longer model simulations.

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References Gates, W. L., et al. (1999). An overview of the results of the atmospheric model intercomparison project (AMIP I). Bulletin of the American Meteorological Society, 80, 29–55. Inter governmental Panel on Climate Change (IPCC) (2001). Atmospheric chemistry and greenhouse gases. In IPCC WGI Third Assessment Report, Chapter 4 (pp. 239–287). Geneva. Lacis, A. A., Wuebbles, D. J., & Logan, J. A. (1990). Radiative forcing of climate by changes in the vertical distribution of ozone. Journal of Geophysical Research, 95, 9971–9981, doi: 10.1029/90JD00092. Liao, H., Chen, W. T., & Seinfeld, J. H. (2006). Role of climate change in global predictions of future tropospheric ozone and aerosol. Journal of Geophysical Research, 111, doi: 10.1029/2005JD006852. Stevenson, D. S., Johnson, C. E., Collins, W. J., Derwent, R. G., & Edwards, J. M. (2000). Future estimates of tropospheric ozone radiative forcing and methane turnover - the impact of climate change. Geophysical Research Letters, 105, 2073–2076, doi: 10.1029/1999GL010887. Unger, N. B., Shindell, D. T., Koch, D. M., Amann, M., Cofala, J., & Streets, D. G. (2006). Influences of man-made emissions and climate changes on tropospheric ozone, methane and sulfate at 2030 from a broad range of possible futures. Journal of Geophysical Research, 111, D12313, doi: 10.1029/2005JD006518. Wang, W. C., Pinto, J. P., & Yung, Y. L. (1980). Climatic effects due to halogenated compounds in the Earth’s atmosphere. Journal of the Atmospheric Sciences, 37, 333–338. Wang, W. C., & Sze, N. D. (1980). Coupled effects of atmospheric N2 O and O3 on the Earth’s climate. Nature, 286, 589–590. Wong, S., Wang, W.-C., Isaksen, I. S. A., Berntsen, T. K., & Sundet, J. K. (2004). Global climatechemistry model study of present-day tropospheric chemistry and radiative forcing from changes in tropospheric O3 since the preindustrial period. Journal of Geophysical Research, 109, D11309, doi: 10.1029/2003JD003998.

Metrics for Ozone and Climate: Three-Dimensional Modeling Studies of Ozone Depletion Potentials and Indirect Global Warming Potentials Donald J. Wuebbles, Daeok Youn, Ken Patten, Dong Wang, and Mónica Mart´ınez-Avilés

Abstract The concepts of ozone depletion potentials (ODPs) and global warming potentials (GWPs) have been extensively used in policy consideration and scientific studies of ozone and climate issues. Most recent candidate-replacement compounds have atmospheric lifetimes shorter than 1 year in order to limit their environmental effects. Especially for chemicals with extremely short lifetimes, on the order of several to tens of days, the stratospheric halogen loading and ozone loss from such gases strongly depend on the location of emissions. Using a state-of-the-art threedimensional global chemistry-transport model (CTM) of the troposphere and the stratosphere, we have calculated the potential effects of very short-lived substances (VSLS) such as n-propyl bromide (nPB), iodotrifluoromethane (CF3 I), and methyl iodine (CH3 I) on atmospheric ozone. The model-derived lifetimes and ODPs of these halogenated compounds for mid-latitude emissions and of CF3 I for tropical emissions are presented in this chapter. On the other hand, ozone depletion due to emission of bromochlorofluorocarbons, or Halons, leads to cooling of the climate system in the opposite direction to direct warming contribution of the Halons as greenhouse gases. This cooling is a key indirect effect of Halons on radiative forcing or climate. Using atmospheric models, CTMs and a radiative transfer model, we have explicitly calculated the indirect GWPs of Halon-1211 and -1301 for a 100year time horizon. The calculated indirect effects of Halon-1211 are much smaller than those published in earlier studies. Nevertheless, our new model-based assessment of the indirect GWPs of the two major Halons confirms the importance of indirect effects on climate. D.J. Wuebbles (B) 105 S. Gregory St., Urbana, IL 61801, USA e-mail: [email protected] D. Youn, K. Patten, and D. Wang Department of Atmospheric Sciences, University of Illinois at Urbana-Champaign, 105 S. Gregory St., Urbana, IL 61801, USA M. Mart´ınez-Avilés Department of Chemistry at Purdue, Purdue University, West Lafayette, IN 47907, USA


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Keywords Halons · indirect global warming potentials (GWPs) · ozone depletion potentials (ODPs) · three-dimensional global chemistry-transport model (CTM) · very short-lived substances (VSLS)

Introduction Human-related emissions of chlorine-containing and bromine-containing halocarbons such as chlorofluorocarbons (CFCs), carbon tetrachloride (CCl4 ), methyl chloroform (CH3 CCl3 ), and bromochlorofluorocarbons (Halons) are well recognized to have caused stratospheric ozone depletion through atmospheric measurements and model studies over recent decades. Ozone-depleting substances (ODSs) are primarily comprised of the halocarbons that have very long lifetimes in the atmosphere. These human-produced ODSs are also known to have a significant impact on future levels of stratospheric ozone. The development of our understanding of atmospheric science thus led to internationally regulate the ODSs under the landmark Montreal Protocol, agreed in 1987, and the amendments and adjustment to the Protocol (Stamnes et al. 1988). The concepts of ozone depletion potentials (ODPs) (Wuebbles 1981, 1983; Solomon et al. 1992; WMO 1995, 2007) arose as a means of determining the relative ability of a chemical to destroy ozone. ODPs are an integral part of national and international considerations on ozone-protection policy, including the Montreal Protocol and its Amendments and the US Clean Air Act. ODPs provide an important and relatively straightforward way of analyzing the potential for a new chemical to affect ozone relative to CFCs, Halons, and other replacement compounds. ODPs are currently determined by two different means: calculations from chemistry-transport models (CTMs), primarily from models of the global atmosphere, and the semiempirical approach (Solomon et al. 1992; WMO 2003). Traditionally, zonally averaged two-dimensional (2-D) CTMs have been the accepted tools for calculating the ozone response in the stratosphere. The past evaluations of ODP were conducted for chemicals with atmospheric lifetime sufficiently long (more than approximately 1 year). These long-lived gases are well mixed throughout the troposphere after surface release and a large portion of surface emissions can reach the stratosphere. However, many of the compounds being considered either for new applications or as replacements for substances controlled under the Montreal Protocol are now designed to be very short-lived, on the order of days to a few months, so as to reduce the impacts on ozone and climate. Many of these very short-lived (VSL) compounds still contain chlorine, bromine, and iodine. The VSL replacement gases still can be vertically transported into the lower stratosphere by intense convection in the tropical troposphere, which is relevant to the possible involvement of such brominated and iodinated compounds in the stratospheric ozone regulations. Due to the difficulties in calculating the integrated amount of the halogenated VSL source and product gases that enter the stratosphere, three-dimensional (3-D) CTMs fully representing the troposphere and stratosphere need to be used to predict the halogen loading and

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ozone depletion in the stratosphere. Thus the definition of ODPs has been revised for VSL compounds (Wuebbles et al. 2001; WMO 2003). The new ODP for the VSL compounds account for the variation that can occur in the ODP as a function of where and when the compound is used and emitted. The most important factor in evaluating the ODP of VLS compounds is shown to be geographical distribution, or latitude, of the surface emissions because gases emitted at higher latitudes take longer to reach the stratosphere than gases emitted in the tropics (Bridgeman et al. 2000; Olsen et al. 2000; Wuebbles et al. 2001). The only VSL compound currently evaluated using the 3-D modeling tool is npropyl bromide (nPB, 1-C3 H7 Br) and only a range of estimated ODPs are available for it (Wuebbles et al. 2001). The past studies of the ODPs for nPB have been partially based on 3-D model results (see WMO Report No. 47 [WMO 2003] for a more complete summary). Wuebbles et al. (2001) scaled the ODPs derived from the University of Illinois at Urbana-Champaign (UIUC) 2-D CTM by factors based on 3-D model studies. Bridgeman et al. (2000) used a 3-D global chemical-transport model to evaluate the atmospheric lifetime and amount of nPB reaching the stratosphere as a function of location and season of emission. They then used an empirical approach to calculate the ODPs based on the derived lifetime and the fraction of nPB emissions reaching the stratosphere. Olsen et al. (2000) applied a 3-D tropospheric chemical-transport model to determine the amount of VSL substances (VSLS) for a range of atmospheric lifetimes, and for various seasons and latitudes of emission, reaching the tropical tropopause. They used these results to scale the ODP determined for nPB from an older two-dimensional modeling study. One of the challenges of modeling the atmospheric impact of VSL compounds is determining its ability to affect the stratospheric ozone. The evaluation of the ODPs for such VSL gases needs to be based on 3-D models of the troposphere and stratosphere, representing the full chemistry and physics processes affecting the gases and their reaction products in the troposphere and stratosphere. 3-D CTMs, which include a much more comprehensive treatment of transport than 2-D models do, are now much more preferable for calculations of ODPs both for longer-lived gases and for the very short-lived candidate-replacement compounds. These models can not only determine the amount of the substance reaching the stratosphere directly, but can also follow the processes affecting the reaction products. Studies suggest that the vast majority of chlorine or bromine reaching the stratosphere from VSL substances is transported there in reaction products (WMO 2003, 2007; Wuebbles et al. 2001). In this study, we calculate ODPs of some of VSL replacement compounds with lifetime less than 180 days such as nPB, iodotrifluoromethane (CF3 I), and methyl iodine (CH3 I), using the state-of-the-art National Center for Atmospheric Research (NCAR) Model for OZone And Related Traces version 3 (MOZART-3) 3-D chemistry-transport model as well as the current UIUC 2-D model. Anthropogenic halocarbons are effective greenhouse gases in that they trap infrared radiation in the troposphere while playing a significant role in stratospheric ozone depletion. Greenhouse gases in the atmosphere absorb infrared radiation emitted by the Earth that would otherwise escape to space. This trapped radiation

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warms the atmosphere, creating a positive forcing on climate, called radiative forcing, which in turn warms the Earth’s surface. The concept of radiative forcing provides an estimate of the potential effect on climate from greenhouse gases. For the given concentration of a gas, the radiative forcing depends primarily on the infrared absorption capabilities of the gas. Global warming potentials (GWPs) provide a means for comparing the relative effects on climate expected from various greenhouse gases (IPCC 1990, 2001; WMO 2003). GWPs are a better measure of the relative climatic impacts than radiative forcing alone as they also account for the atmospheric lifetime, and thus the change in concentration for a given emission, of the gases. Numerical models are used to determine the atmospheric lifetimes and radiative forcing for the various compounds. GWPs have been evaluated for a number of replacement compounds and have been reported in the international IPCC and WMO assessments. The GWP concept is also being used in policy-making considerations associated with concerns about global warming from greenhouse gases, generally with a 100-year integration time. Of all the greenhouse gases, halocarbons have one of the highest warming potencies, as much as 10,000 times the warming effect of carbon dioxide. However, unlike carbon dioxide, these gases play a significant role in the destruction of stratospheric ozone. The distribution of ozone also has important implications for the Earth’s climate system, not only because ozone absorbs solar radiation but also because it is a greenhouse gas that helps warm the Earth by absorbing some of the infrared radiation emitted from the Earth’s surface. Changes in both ozone distribution and overall amounts can also affect climate. The stratospheric ozone losses decrease the temperature of the lower stratosphere, which results in a decreased infrared flux to the troposphere, canceling the radiative forcing effects caused by the increased infrared trapping of the halocarbons. This leads to cooling of the climate system in the opposite direction to direct warming contribution of halocarbons as the greenhouse gases (Lacis et al. 1990; Ramaswamy et al. 1992). This cooling through ozone depletion is a key indirect effect of halocarbons on radiative forcing and is particularly significant for bromine-containing gases. This indirect effect decreases GWPs of these halocarbons. The indirect GWPs for various halocarbons have been included in all international ozone assessments since 1995 (e.g., see WMO 2003, 2007). Indirect GWP values published until now (Daniel et al. 1995; IPCC/TEAP 2005; WMO 1999, 2003, 2007) have been estimated from a traditional approach introduced by Daniel et al. (1995). However, the approach is based on the assumption of approximate linear relationship between the change in effective equivalent stratospheric chlorine (EESC) and radiative cooling due to lower stratospheric ozone loss. The concept of EESC has limitations because of uncertainties in the transport time, the bromine efficiency for ozone destruction versus chlorine (α ), the efficiency of stratospheric halogen release of the source gas, the starting date for ODS losses, the emissions scenarios assumed, possible temporal changes of transport times, and fractional bromine/chlorine release values (Newman et al. 2006, 2007). The indirect GWPs have primarily changed over time as a response to updates in the EESC and updates to the carbon dioxide mixing ratio and response function. Recently, a reformulation of the technique for estimating EESC was provided that accounts for the


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age-of-air spectrum and the age-of-air dependent fractional release values (Newman et al. 2006). Despite the new formulation, the use of EESC is still limited by basic assumptions that underlie its use and by its simplification of the complex processes occurring in the atmosphere. Of special concern is the fact that EESC only provides a rough estimate of the time scale of global ozone change in an unchanging atmosphere without consideration of actual chemistry, mixing and transport processes in the troposphere and stratosphere. Along with the uncertainties in the EESC concept, this assumption of a linear relationship could itself lead to potentially significant errors in estimating the indirect GWPs. As a step toward obtaining indirect GWPs through a more robust approach, the indirect warming effects have been explicitly evaluated using state-of-theart atmospheric models. The anthropogenic bromochlorofluorocarbons (Halons) among halocarbons have the highest values of indirect GWP. In this study, the NCAR MOZART-3 3-D and the UIUC 2-D CTMs of the troposphere and stratosphere are used as the computational tool to derive more realistic ozone changes caused by pulse perturbation of Halons at the surface. 2-D and 3-D model-based indirect GWPs of two major Halons, Halon-1211 and Halon-1301, for a 100-year time horizon are explicitly calculated based on the global CTMs and the UIUC radiative transport model (RTM). In this chapter, it is emphasized that the use of state-of-the-art numerical models of the chemistry and physics of the troposphere and stratosphere is indispensible to improve and expand upon the understanding of the effects of human-related emissions of atmospheric gases on the atmospheric ozone layer and its relationship to concerns about climate change. This chapter is organized as follows. In the first section the methodologies to obtain ODPs for three very short-lived substances and indirect global warming potentials (GWPs) for Halons as well as their concepts are described and discussed. After brief descriptions of models used for our calculations in the third section, our results of ODPs and indirect GWPs are presented in the fourth and fifth sections, respectively. Our conclusions are found in last section.

Methodology In this section, we describe how model calculations of ODPs for halogenated VSL compounds and indirect GWPs for Halons have been conducted beginning with the concepts of ODP and GWP.

Ozone Depletion Potential (ODP) of VSL Compounds The concept of ODPs provides a relative cumulative measure of the expected effects on ozone of the emissions of a gas relative to one of the gases of most concern to ozone change, namely CFC-11 (CFCl3 ) (Solomon et al. 1992; WMO 1995, 1999;

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Wuebbles 1981, 1983, Wuebbles et al. 2001). The ODP of a gas is defined as the integrated change in total ozone per unit mass emission of the gas, relative to the change in total ozone per unit mass emission of CFC-11. As a relative measure, ODPs are subject to fewer uncertainties than estimates of the absolute percentage of ozone depletion caused by different gases. ODPs provide an important and relatively straightforward way of analyzing the potential for a new chemical to affect ozone relative to CFCs, Halons, and other replacement compounds. However, a chemical compound with extremely short lifetime, on the order of several to tens of days, is not expected to be well mixed in the atmosphere and thus has ODPs that should be dependent on location (WMO 2003; Wuebbles et al. 2001). Therefore, our ODP calculations of VSL species need to be carried out as a function of latitude using a 3-D model as suggested by (WMO 2003). The ODP of an ozone-destroying species χ is defined by: ODPχ =

ΔO3 (χ ) φ (χ )

ΔO3 (CFC − 11) φ (CFC − 11)

(1)

where the percent change in O3 burden in the χ perturbation run versus the reference run is represented by ΔO3 (χ ), that in the CFC-11 run versus the reference run is represented by ΔO3 (CFC − 11), the χ flux introduced into the atmospheric boundary layer is represented by φ (χ ), and the CFC-11 flux in the perturbation run minus that in the reference run is represented by φ (CFC − 11). Therefore, the model calculation for the ODP of an ozone-destroying species requires two perturbation model runs and the reference atmosphere of the CTM. Since the reference atmosphere without the ODS, a CFC-11 perturbed atmosphere, and a ODS perturbed atmosphere are required, three steady-state model outputs are generated from the CTM. A CFC-11 perturbed atmosphere is obtained from the CFC-11 perturbation run by increasing the surface mixing ratio of CFC-11 from its value in the reference atmosphere run. In a separate χ perturbation run, χ is introduced as a surface flux emission for specific latitude ranges to provide the ODP numerator as given in Eq. (1). If reference and CFC-11 perturbed steady-state atmospheres are produced, the atmospheric burdens of O3 and CFC-11 as well as the total chemical removal rate of CFC-11 from the atmosphere are calculated to provide a denominator for the ODP. The ODPs calculated using CTMs are steady-state ODPs. Most recent candidate-replacement compounds have atmospheric lifetimes shorter than 1 year in order to limit their environmental effects. These compounds generally do not mix evenly in the troposphere, and most of the surface fluxes are oxidized within the troposphere rather than reaching the stratosphere as the original compound. It is important to note that through the degradation process bromineor iodine-containing product gases can be transported and produced to result in bromine or iodine atoms in the stratosphere which is about 60 or 100 times more effective than chlorine atom as catalysts in stratospheric ozone destruction. Thus in analyzing such short-lived gases, chemical degradation in the troposphere, removal of degradation products by incorporation into clouds and rainout, and transport of


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the gases and their degradation products to the stratosphere must be treated accurately. Tropospheric transport, including convection processes, as well as rainout processes is treated with limited accuracy in a zonally averaged two-dimensional model. Therefore, a three-dimensional model is required for a more thorough study to investigate the impact of halogenated replacement compounds on ozone depletion as a function of location as suggested by Wuebbles et al. (WMO 2003). In this study, the ODPs of recently considered replacement compounds, especially for halogenated very short-lived (VSL) compounds with lifetime less than 180 days such as n-propyl bromide (nPB, 1-C3 H7 Br), iodotrifluoromethane (CF3 I), and methyl iodine (CH3 I), has been assessed using the MOZART-3 3-D CTM as well as the UIUC 2-D CTM. The MOZART-3 CTM of the global atmosphere is one of the leading tools for the study and prediction of current and future atmospheric composition and of possible effects from anthropogenic emissions into the atmosphere. The MOZART version 3.1, fully representing all relevant tropospheric and stratospheric processes (Kinnison et al. 2007), is applied to evaluate the ODP of VSL compounds after adding the relevant chemistry of the VSL compound considered. The 3-D model ODP studies will greatly help to complete a through understanding of the potential effects on stratospheric ozone beyond the two-dimensional studies. Since most of such VSL compounds are likely to be used mainly at northern midlatitudes, the emissions at the surface are assumed to occur for latitudes from 30◦ N to 60◦ N (see Fig. 1a). The surface emissions in the MOZART-3 perturbation run are considered over land grid cells while those in the 2-D model are assumed equally distributed over the latitude range. The emissions are assumed to be the same over model land grids and assigned with fractional land surface emissions at boundary grids between land and ocean/lake considering actual land fraction. Total annual masses emitted into the atmosphere in the 3-D model were adjusted to match those in the 2-D model. Model ODPs for the three halogenated VSL compounds have been derived assuming the mid-latitude emissions but the analysis of tropics emissions has also been carried out for CF3 I. Global atmospheric lifetimes are also calculated based on model atmospheric loading and chemical loss rate of the compounds as a mean of evaluating the validity of the model run.

Indirect Global Warming Potential (GWP) of Halons The indirect cooling effect of bromine-containing halocarbons on climate through ozone depletion can significantly cancel the direct global warming effect of the greenhouse gases. EPA and the international 3 policy community have a special interest in indirect GWPs because of their potential use in future policy decisions related to ozone and climate. However, the current approach to estimate the indirect GWPs, used in the ozone assessments, has potentially serious limitations due to the parameterized approach and underlying assumptions, as explained in the

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(a)

Land emissions at the surface over midlatitudes of 30N-60N

90N

Latitude [deg]

60N 30N EQ 30S 60S 90S 180W

150W

120W

90W

60W

30W 0 30E Longitude [deg]

60E

90E

(b)

Land emissions at the surface over the tropics of 20S-20N

150W

120W

120E

150E

180E

150E

180E

90N

60N

Latitude [deg]

30N

EQ

30S

60S 90S 180W

90W

60W

30W 0 30E Longitude [deg]

60E

90E

120E

Fig. 1 Land-based surface emission fluxes of CF3 I over (a) 30◦ N–60◦ N and (b) 20◦ S–20◦ N in the unit of molecules per centimeter per second. These postulated emissions are inputs to model perturbation runs. The surface flux is adjusted at boundary grids considering actual land fractions

introduction. Therefore, in this study the indirect GWP is evaluated through the explicit calculation using state-of-the-art atmospheric models. Model-based estimations of indirect GWP values are based on the concept of GWPs. Halocarbons are greenhouse gases absorbing outgoing terrestrial longwave radiation and contribute to global warming. Since the first scientific assessment of the Intergovernmental Panel on Climate Change (IPCC) in 1990, the global warming potential (GWP) has been used as a relative index for comparing the potential climate impact of one greenhouse gas to another, based on globally averaged radiative forcing of the climate system over a specified time scale. GWPs are expressed as a ratio of the time-integrated radiative forcing from the instantaneous release of a kilogram of a gas relative to that of a kilogram of the reference gas, generally


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carbon dioxide, over a fixed time horizon (IPCC/TEAP 2005; WMO 2007). Thus, the direct global warming potential of a gas χ (IPCC 1990, 2001) can be defined as: TH

Fχ · [χ (t)]dt GWPχ (TH) = TH0 0 FCO2 · [CO2 (t)]dt

(2)

where TH is the integration time (the time horizon) over which the calculation is performed, Fχ is the radiative forcing efficiency due to a unit mass change in the atmospheric abundance of the substance χ , and [χ (t)] describes the time-dependent decay of the abundance from an instantaneous release of gas χ . Fχ and FCO2 are generally given in the unit of W m−2 kg−1 . Time-dependent changes in radiative forcing, resulting from ozone depletion caused by an emission of bromine-containing species χ , are a key indirect effect of the gas on radiative forcing. If the numerator in the Eq. (2) is substituted with time-integration of the time-dependent changes in radiative forcing due to ozone depletion following an instantaneous release of a kilogram of halocarbon χ , then the resulting GWP becomes the indirect GWP of χ through ozone depletion. In this study, the indirect GWPs for Halon-1211 and Halon-1301 over the 100-year time horizon have been reevaluated. The MOZART-3 3-D and the UIUC 2-D CTMs are used as the computational tool to derive more realistic ozone changes caused by an instantaneous release (pulse perturbation emission) of Halons at the surface. Radiative forcing changes induced by the time-dependent ozone depletion during the model simulations over the time horizon are calculated by the UIUC RTM. For long-lived source gases including Halons, the current CTMs use the lower boundary condition of specifying their mixing ratios at the lower boundary instead of using the surface flux boundary condition. The fixed concentrations at the model bottom boundary override the interactive exchange of the gas between the atmosphere and Earth’s surface, which expedite the model gas to be vertically well mixed in the troposphere. However, the original model boundary condition cannot be used to calculate the time-dependent change in stratospheric ozone due to an instantaneous pulse perturbation of Halons. To realistically simulate time-dependent atmospheric response to a single year pulse perturbation, the models thus have been modified to use surface flux emissions as means of atmospheric loading of the Halon. The change in model boundary setup also requires additional model runs to reach a converged or steady-state atmosphere. The model experiments need to start from the steady-state atmosphere since the boundary condition of Halons was changed to a flux surface emission. Otherwise, the preexisting non-steady-state Halon other than a pulse perturbation injected at the first year of model simulations additionally affects ozone, which makes the analysis difficult because the ozone loss only from the perturbation is our concern. Due to its computational efficiency, the 2-D model with the revised Halon boundary condition reaches a new converged or steady-state model atmosphere for the Halon surface emission in a relatively shorter computation time than the 3-D model does. Standard run of the 2-D model for a surface emission of Halon-1211

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(Halon-1301) required 40 (60) years run before reaching a steady-state atmosphere. However, the 3-D model is computationally so expensive that 30–60 years of 3-D runs, even before the actual perturbation simulations, cannot be easily performed to achieve a steady-state atmosphere for each Halon surface emission. As a effective way to detour the difficulty in getting a steady-state atmosphere in the 3-D model, a new simulation method, two parallel simulations of standard and perturbed atmosphere, was adopted to properly handle the issue and has been proved to do so, as shown in the following section. The high-computational demand and limited computer resources also limit the number of full 100-years simulations using the 3-D model. However, it is expected that stratospheric ozone, after showing the peak depletion since a pulse perturbation of Halon-1211 or Halon-1301, will recover exponentially over time in accordance with the exponential decay of perturbed Halons. Thus, the remaining time-dependent change in ozone recovery can be projected with much smaller years of Halon perturbation runs by applying an exponential function to best fit the change although the 3-D model runs required to establish steady exponential recovery in ozone are still computationally very expensive. Once a full 100-years of total radiative forcing change per released mass of Halons is estimated by applying an exponential curve fitting to the recovering tail part of radiative forcing changes resulting from the ozone recovery, the 3-D model-based indirect GWP values for Halons over the 100-year time horizon (the integration time usually used for GWPs) can be estimated based on first several tens of years model simulations.

Brief Descriptions of Modeling Tools Advanced modeling capabilities have been achieved by further development of the 2-D and 3-D chemistry-transport and the radiative transfer models, to apply the models to a series of studies to address basic understanding of upper tropospheric and stratospheric chemical and transport processes (Guillas et al. 2006; Miller et al. 2006; Pan et al. 2007; Reinsel et al. 2005; Wuebbles et al. 1983; Youn et al. 2006), evaluation of chemical impacts on atmospheric ozone and climate including ODPs for various compounds (Li et al. 2006; Naik 2005; Wallington et al. 2006) and GWPs (Foster et al. 2004), and for extensive participation in the international ozone assessment (WMO 2007). The models applied in this study are described in this section.

Two-Dimensional CTM The UIUC 2-D CTM is a zonally averaged model of the chemistry and physics of the global atmosphere which has been extensively used in studies of human related


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and natural forcings on the troposphere and stratosphere, stratospheric ozone effects of long-lived and short-lived compounds, and other studies of atmospheric composition (Li et al. 2006; Wuebbles et al. 2001). The model domain extends from pole to pole and from the ground to 84 km in altitude. A grid box is 5◦ of latitude and 1.5 km in log-pressure altitude. The zonally averaged temperature and wind fields are specified based on 10-year climatology of UKMO reanalysis. The most updated version of the model used in this study determines the atmospheric distribution of 78 chemically active atmospheric trace constituents with 56 photolytic reactions, 161 thermal reactions, and heterogeneous reactions involving a seasonal time-dependent parameterization of polar stratospheric clouds (PSCs) (Wuebbles et al. 2001). The model includes the important species and relevant chemistry to evaluate the spatially and temporally varying concentrations in the distributions of the ClOx , BrOx , NOx , Ox , HOx , CH4 , CHx Oy , and CO chemistry (Wuebbles et al. 2001). Reaction-rate constants and photochemical data in the model are primarily based on the recommendations compiled by the NASA Panel for Data Evaluation (Sander et al. 2003). The model includes the improved treatment of the infrared radiation, planetary waves, and residual circulation (Li et al. 2006). The model applied to the analysis of satellite tracer observations captures the most important physical and chemical processes of the global atmosphere well (Youn et al. 2006). Therefore, the UIUC 2-D CTM has been an adequate and efficient tool for the evaluation of ODPs although 2-D models have limitations in adequately representing the zonally asymmetric features such as tropospheric transport processes and the edge and evolution of the ozone hole. The 2-D model applied to traditional ODP studies, especially for long-lived compounds, has been performed in a daily-average mode with a time step of 1 day outside the operators. However, the model runs to evaluate the impact of VSL compounds on atmospheric ozone need to be conducted in more detailed integration with a time step of 20 min due to very short lifetimes of the source and product gases although the above-mentioned limitations exist. The 2-D model still has the advantage of being much more computationally efficient compared to 3-D models. Its computational efficiency makes it possible to perform various 100-years model simulations that allowed us to do initial analyses and to understand time-dependent effects of perturbed Halons on ozone depletion and its subsequent impact on radiative forcing. On the other hand, the study of estimating indirect GWPs for Halons will not be affected much by the limitations of the zonally averaged 2-D model since the Halons are long-lived species.

Three-Dimensional CTM The 3-D model better represents some of the physical processes affecting ozone as well as transport processes, especially in the troposphere and the polar stratosphere. Therefore, 3-D CTMs are now the tool of choice and much more preferable for calculations of ODPs both for longer-lived gases and for the very short-lived

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candidate-replacement compounds. These models can not only determine the amount of the substance reaching the stratosphere directly, but can also follow the processes affecting the reaction products. Studies suggest that the majority of chlorine or bromine reaching the stratosphere from VSL substances is transported there in reaction products (WMO 2003, 2007; Wuebbles et al. 2001). The drawback in using the 3-D models is that they are very computationally expensive and require much additional human resources for analysis. In this study, the state-of-the-art National Center for Atmospheric Research (NCAR) Model for OZone And Related Traces version 3 (MOZART-3) has been used to explicitly calculate the impact of halocarbon emissions added at the Earth’s surface into the atmosphere on ozone depletion. The MOZART-3 includes a complete representation of stratospheric processes and extends to altitudes greater than 80 km as described and evaluated by Kinnison et al. (2007). It incorporates a full stratosphere, including the chemistry of chlorine species (Cly ) and bromine species (Bry ) important in stratospheric ozone calculation as well as updated hydrogen, nitrogen, and hydrocarbon oxidation chemistry relevant to stratospheric and tropospheric chemistry included in its predecessor model MOZART version 2 (Horowitz et al. 2003). State-of-the-art representations of relevant heterogeneous and physical processes for winter/spring polar vortex related to ozone destruction are also fully included in the model. This model has been evaluated extensively via comparisons with measurements of atmospheric trace gases from satellite data and a large number of aircraft field campaigns (e.g., Horowitz et al. 2003; Kinnison et al. 2007; Pan et al. 2007; Wei et al. 2003). Chemical reaction rate constants and photochemical data follow the recommendations of Sander et al. (2003), which is consistent with the 2-D model study. The MOZART-3 CTM used in this study is driven by a meteorology field derived from the Whole Atmosphere Community Climate Model (WACCM) version 1b. The MOZART-3 thus has a 2.8◦ resolution in latitude and longitude and a hybrid sigmapressure vertical coordinate including 66 layers from the surface to 5.1 × 10−6 mbar (approximately 140 km).

Radiative Transfer Model The University of Illinois at Urbana-Champaign radiative transfer model (UIUC RTM) calculates radiative fluxes through an input atmosphere. Earlier versions of the UIUC RTM have been used in several studies on climate effects (Jain et al. 2000; Naik 2005). The current version incorporates several improvements over those versions, notably that solar radiation can now be optionally handled with the DISORT multi-stream radiative transfer kernel (Stamnes et al. 1988). The UIUC RTM has been developed to handle radiative properties of the outputs from global atmospheric chemical-transport models such as UIUC 2-D, CSIRO 2-D, NCAR MOZART 3D, and NASA GMI 3-D, which contain temperatures and mixing ratios of the radiatively active constituents carbon dioxide (CO2 ), water vapor (H2 O), ozone


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(O3 ), methane (CH4 ), nitrous oxide (N2 O), and Freons 11 (CCl3 F, or F11) and 12 (CCl2 F2 , or F12) for a full model year. For shortwave radiation, similar to the solar radiative transfer model from which this model was originally developed (Briegleb, 1992a, b), solar spectrum is divided into 18 intervals from 0.2 to 5.0 μ m, with solar flux fractions specified for each interval. Included in the calculation are molecular, cloud, and surface scattering, along with H2 O, O3 , CO2 , O2 , clouds, and surface absorption. The longwave radiation heating rates and boundary fluxes calculation utilizes a narrow band model (NBM), which computes narrow band absorptivity and emissivity over 10 cm−1 intervals from 0 to 3,000 cm−1 for water vapor and 5 cm−1 from 0 to 3,000 cm−1 for other gases such as CO2 , N2 O, CH4 , and O3 and then sums them up to obtain the broad band radiative forcings. Orography and surface albedo are based on observations, while clouds are based on the ISCCP climatology and tropopause height on the NCEP reanalysis. The Hitran 2004 data base provides spectral data for the radiatively active species, which are averaged to the spectral intervals within the UIUC RTM. The version 2.3.6 of UIUC RTM is used to calculate radiative forcings at the tropopause based on the ozone changes resulting from the Halon perturbations.

ODPs for Halogenated VSL Compounds The ODPs for halogenated VSL compounds such as nPB, CF3 I, and CH3 I have been evaluated using the state-of-the-art MOZART-3 3-D CTM after updated chemical processes related to the compounds and oxidation products are incorporated into the models. In this section, the updates of nPB and iodine chemistry are briefly explained and then the analyzed ODP are provided. We also use the current UIUC 2-D CTM, for direct comparison to the 3-D model results.

n-Propyl Bromide n-Propyl bromide (nPB), which has the chemical formula CH3 CH2 CH2 Br and is also called 1-bromopropane, is one candidate-replacement compound as a key ingredient in solvents. This compound was expected to react readily with hydroxyl radical (OH), leading to an atmospheric lifetime of less than 19 days (Nelson et al. 1997), which suggested that it should have the minimal ODP in laboratory tests and simulations because it would be mostly degraded in the troposphere. However, the bromine substituent indicated that any of this compound or its atmospheric degradation products that reach the stratosphere could be expected to produce inorganic bromine and catalyze stratospheric ozone destruction strongly. Thus, the fraction of surface nPB emissions that enters the stratosphere, whether as nPB or as a degradation product, and the resulting effects on atmospheric ozone have been subject to study over

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the last decade (Bridgeman et al. 2000; Olsen et al. 2000; WMO 2007; Wuebbles et al. 2001). According to the past studies using early versions of 3-D CTMs of the troposphere applied to the nPB ODP question, surface emissions of VSL compounds would affect the stratospheric ozone depending on location of original emissions at the Earth surface because of their short atmospheric lifetime. Wuebbles et al. (2001) showed the latitude dependence of nPB effects on ozone in both 2-D and 3-D work, and considered a wide range of potential nPB degradation chemistry in the UIUC 2-D CTM. The study concluded that much of the nPB effect on the stratospheric ozone was due to inorganic bromine species (Bry ) produced in the troposphere and transported to the stratosphere. Bromoacetone (BrAc) was the only organic nPB degradation product among those considered that reached the stratosphere in significant quantity. Much of the nPB degradation chemistry (Wuebbles et al. 2001), for which no experimental information was known, was based on analogous reactions by nonhalogenated compounds and on OH reaction-rate constant estimation techniques (Atkinson 1994; Kwok & Atkinson 1995), including the fraction of nPB that would react to form BrAc. Since the previous model studies, two laboratory studies and one computational study have improved the understanding of nPB and BrAc atmospheric chemistry. Gilles et al. (2002) provided measurements of the reaction rate constants for nPB reaction with OH specific to each reaction site to improve on the estimation techniques applied in obtaining the nPB fraction that would result in BrAc or other organobromine products. Recently, Mart´ınez-Avilés (2008) provided a through and complete atmospheric degradation study for nPB and identified the most likely outcomes of OH reaction with nPB at each of the three carbon sites through quantum chemistry calculations of thermodynamics and transition state energies of nPB and both radical and molecular products including BrAc. Burkholder et al. (2002) showed that BrAc has a larger absorption cross section at longer wavelengths than does acetone, its analog for the photolysis reaction in Wuebbles et al. (2001), so that its expected lifetime in the atmosphere would be a few hours instead of being similar to that of nPB. The expected chemical effects of nPB in the atmosphere have been updated with the revised understanding of nPB and BrAc chemistry. The nPB + OH reaction rate constant expressions of Gilles et al. (2002) and the BrAc absorption cross sections and photolysis quantum yields of Burkholder et al. (2002) are incorporated into the MOZART-3 3-D and the current UIUC 2-D CTMs in addition to their standard chemistry. The effect of nPB on the atmospheric ozone, therefore the ODP of nPB, has been reevaluated with the two models fully representing the troposphere and stratosphere. In this study, a model scenario for land-based emissions of nPB in the latitude range of 30◦ N to 60◦ N has been conducted. The nPB flux used in this study is a rate of 8.64 × 108 molecules cm−2 s−1 , from all land over 30◦ N–60◦ N like the geographic distribution of Fig. 1a, corresponding to a total nPB emission rate of 2.474 Tg year−1 .


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CF3 I and CH3 I Iodotrifluoromethane (CF3 I) is a gaseous fire suppression flooding agent for in-flight aircraft and electronic equipment fires and a candidate replacement for trifluoroiodomethane (Halon-1301, CF3 Br). Methyl iodine (CH3 I), a potential replacement fumigant for methyl bromide (CH3 Br), have been of interest for their role in transporting iodine from ocean to the atmosphere and the subsequent role of iodine in atmospheric photochemistry (Bell et al. 2002; Cohan et al. 2003; Vogt et al. 1999). CF3 I is rapidly photodissociated even under visible light conditions and CH3 I is also photolyzed along with the reaction with OH, which results in forming reactive iodine atoms. Therefore, those iodinated species could be treated as a potential significant source of atmospheric iodine despite being very short-lived, and are of interest in the upper troposphere and lower stratosphere as a source of iodine radicals for ozone destruction (WMO 2007). Ozone destruction in the lower stratosphere due to catalytic cycles involving iodine was not well understood, but recent laboratory studies have improved the understanding of atmospheric chemical processes of iodine species including their photochemistry (Bösch et al. 2003; Lacis et al. 1990; WMO 2007). Several earlier studies have evaluated potential effects of CF3 I on ozone in terms of ODPs. Assuming CF3 I emissions from the Earth surface only, early studies obtained extremely small ODPs of CF3 I, which were 2/>3.4 3.5/2.7 3.3/3.0 3.3/2.4 13/2.8 13/2.3 11/2.6

2.4/3.9 2.6/3.4 2.5/3.9 – – 4.2/2.1 9.5/2.4 9.5/2.9 8.3/2.4

Discussion and Conclusions Our results demonstrate significant longitudinal differences in the structure of TO fields and their evolution in time over the Russian territory from West to East. These differences are statistically significant and almost permanent during the long period of ozone depletion in the 1980s to the first years of the1990s and also in the current period of ozone partial recovery. The two phases of QBO west (W) and east (E) at the 30–50 hPa levels for January–March of each year are indicated in Fig. 2. The years of high winter and annual ozone and the warm Arctic lower stratosphere begin with the E QBO phase, when the meridional stratospheric air transport in winter was more intense compared to the years with the W QBO phase (see e.g. (Labitzke & van Loon 1997; WMO 2003)). During the years of low winter–annual ozone in the cold Arctic stratosphere QBO had a W phase, and in some years the E phase changed to the W phase at the upper levels. These results allow us to propose a working hypothesis of ozone dynamics over the subarctic zonal belt and northern Eurasia: Stratospheric ozone is transported by planetary waves from its maximal content in the tropical lower stratosphere to the high northern latitudes and to the Arctic stratosphere predominantly during the QBO E phase and in the longitudes of the Far East (5) region and Western Pacific ocean along the western periphery of the known North Pacific winter stratospheric anticyclone. Then zonal flow distributes this ozone over the relevant zonal belt to the east and to the west and ozone comes to the stratosphere of European Russia, having a short “memory” of QBO and being influenced by the 11-year solar cycle. Further investigations may examine this hypothesis and find the influence of other factors (e.g. of Arctic and North Atlantic Oscillations) on such ozone transport over Russian territory. Acknowledgements The study was supported by the Russian Basic Research Foundation (grant 05-05-64496) and partly by the Swiss—Russian SNSF project IB7320-110884.

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References Andersen, S. B. et al. (2006). Comparison of recent modeled and observed trends in total column ozone. J. Geophys. Res., 111, D02303, doi: 10.1029/2005JD006091. Bojkov, R. D., Fioletov, V. E., & Shalamyansky, A. M. (1994). Total ozone changes over Eurasia since 1973 based on reevaluation filter ozonometer data. J. Geophys. Res., 99, 22, 985–22,999. Bojkov, R. D., & Fioletov, V. E. (1995). Estimating the global ozone characteristics during the last 30 years. J. Geophys. Res., 100, 16,537–16,551. Bojkov, R. D. et al. (1995). Total ozone trends from quality controlled ground-based data (1964– 1994). J. Geophys. Res., 100, 25,867–25,876. Box, G. E., & Jenkins, G. M. (1970). Time series analysis. Forecasting and control. Boca Raton, Fla: Holden Day. Fioletov, V. E. et al. (1999). An assessment of the world ground-based total ozone network performance from comparison with satellite data. J. Geophys. Res., 104, 1737–1747. Fioletov, V. E. et al. (2002). Global and zonal total ozone variations estimated from ground-based and satellite measurements: 1964–2000. J. Geophys. Res., 107, 4647, doi: 10.1029/2001JD001350. Hudson, R. D. et al. (2003). The total ozone fields separated into the meteorological regimes. P. 1. Defining the Regimes. J. Atm. Sci., 60, 1669–1677. Ionov, D. V. et al. (2002). Comparisons of the satellite (GOME, TOMS) and the ground-based total ozone measurements. Earth Research from space, 3, 10–19 (in Russian). Ionov, D. V. et al. (2006). Validation of satellite total ozone and NO2 data by ERS-2, GOME, ENVISAT SCIAMACHY and AURA OMI with ground-based UV-Visible measurements over Russia and NIS. Global Research Abstracts, 8, 09502, Sref-ID: 1607–7962/gra/EGU06-A09502. Labitzke, K., & van Loon, H. (1997). The signal of the 11–year solar cycle in the upper troposphere–lower stratosphere. Space Sci. Rev., 80, 393–410. Manney, G. L. et al. (2005). The remarkable 2003–2004 winter and other recent warm winters in the Arctic atmosphere since the late 1990s. J. Geophys. Res., 110, D04107, doi: 10.1029/2004JD005367. Reinsel, G. C. et al. (2005). Trend analysis of total ozone data for turnaround and dynamical contribution. J. Geophys. Res., 110, D16306, doi: 10.1029/2004JD004662. Shalamyansky, A. M. (1993). Ozonometric network of CIS. Meteorology and Hydrology, 9, 100–104 (in Russian). Shalamyansky, A. M., Romashkina, K. I., & Ignatenko, V. M. (2002). The total ozone measurement method improvement by the light of sky zenith using. Transactions of MGO, 282, 102–109 (in Russian). Shalamyansky, A. M. et al. (2004). Total ozone content over the Russian Federation and adjacent countries territory over the 30 year measurements on the ground-based stations. Meteorology and Hydrology, 8, 24–35 (in Russian). Stahelin, J. et al. (2001). Ozone trends: A review. Rev. Geophys., 39, 231–290. von Storch, H. & Zwiers, F. (2001). Statistical Analysis in Climatic Research. VIII + 484 p., Cambridge Univ. Press, UK. Weatherhead, E. C. et al. (2000). Detecting the recovery of the total column ozone. J. Geophys. Res., 105, 22,201–22,210. World Meteorological Organisation (WMO) (1999). Scientific Assessment of Ozone Depletion: 1998. WMO Global ozone research and monitoring project, Rep. No. 44, Geneva, Switzerland, Ch. 4 and 7. World Meteorological Organisation (WMO) (2003). Scientific Assessment of Ozone Depletion: 2002. WMO Global ozone research and monitoring project, Rep. No. 47, Geneva, Switzerland, Ch. 3 and 4.

Part VI

Solar Ultraviolet Measurements and Effects

Solar UV: Measurements and Trends Gunther Seckmeyer, Irina Smolskaia, Darius Pissulla, Alkis F. Bais, Kleareti Tourpali, Charoula Meleti, and Christos Zerefos

Abstract This chapter investigates the extent to which trends of ultraviolet (UV) radiation can be derived by measurements. UV radiation is a rapidly changing quantity that depends on latitude, longitude, height, incident angle, azimuth angle, wavelength and polarization parameters. The irradiance is an integrated quantity only, but it has been measured reliably at several stations since the beginning of the 1990s. Most of the existing UV irradiance data sets in the northern hemisphere show an upward trend but we show that the time series are still too short to derive meaningful trends in most cases. The reasons are the high natural variability and the high autocorrelation of UV data. At Thessaloniki there has been an upward trend caused by a decrease in aerosol content at this site. If the current predictions about further ozone changes are correct, climate-related changes in clouds, aerosols and ground albedo will dominate the expected UV changes. Future research in UV should focus on the effects of clouds and aerosols and on the characterization of the spatial distribution of UV radiation (i.e., spectral radiance) which is needed to assess UV effects in medicine, biology or air quality. Keywords Ozone depletion · trend analysis · radiance distribution · UV radiation · UV prediction

G. Seckmeyer (B) Leibniz Universität Hannover, Institute of Meteorology and Climatology, Herrenhaeuserstr. 2, D-30419 Hannover, Germany e-mail: [email protected] I. Smolskaia and D. Pissulla Institute of Meteorology and Climatology, Leibniz Universität Hannover, Hannover, Germany A.F. Bais, K. Tourpali, and C. Meleti Laboratory of Atmospheric Physics, Aristotle University of Thessaloniki, Thessaloniki, Greece C. Zerefos Laboratory of Climatology and Atmospheric Environment, National and Kapodistrian, Academy of Athens, Athens, Greece


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Introduction The possible increase of solar ultraviolet (UV) irradiance due to ozone depletion is the major reason why people usually care about the development of the ozone layer. Therefore, one of the interesting questions is whether there are changes in UV related to ozone changes during the last decades and whether we can reliably assess them. This chapter summarizes some recent findings, but it is not intended to give a complete overview. Such an overview can be found in the World Meteorological Organization/United Nations Environmental Program (WMO/UNEP) assessment, for example (Bais et al. 2007).

Fundamental Differences Between Ozone and Solar UV There are several fundamental differences in the assessment of ozone versus UV changes that are worth clarifying. Ozone varies slowly with time (hours, days), whereas UV varies rapidly with time (seconds). As a result, there is a three to four order of magnitude higher variability of solar UV compared to the variability in ozone. Ozone depends on latitude, longitude and height: ozone (la, lo, h, t), whereas UV depends on latitude, longitude, height, incident angle, azimuth angle, wavelength and polarization parameters: UV (la, lo, h, t, θ , ϕ , λ , u, v, w). But can we treat a 10-D quantity, which is rapidly varying, like a 4-D quantity? Of course the answer is no, but practical solutions have to be found. One way is to integrate over θ , ϕ , λ , and to ignore polarization (Cordero et al. 2008). However, at least the integration over t and λ are problematic in atmospheric sciences, the integration over θ , ϕ and λ are problematic with respect to effects of UV radiation (chemistry, biology, medicine). Sample results of measurements of spectral radiance are shown in Chapter 5. Another major difference between ozone and UV radiation are the difficulties to reliably measure the absolute quantity UV irradiance (or radiance). Figure 1 shows the measurement uncertainty in the UV region on the secondary ordinate as a function of wavelength (Seckmeyer et al. 2001; Cordero et al. 2007). The measurement uncertainty is strongly wavelength-dependent and increases with decreasing wavelength (Cordero & Seckmeyer 2007). The measurement uncertainty drastically increases for wavelengths shorter than 293 nm. The major challenge for the UVmeasuring scientists now is to measure the shortwave radiation reliably since the best available instruments do not achieve a better uncertainty in the UV range than of about 10%. The primary ordinate in Fig. 1 shows the expected calculated change in spectral UV irradiance related to changes in ozone. The results are shown for changes in ozone of 1% and 3%. As can be seen, it is relatively easy to measure a change of ozone of 3% at 300 nm since the uncertainty of the measurement is half of value of the predicted change in the irradiance due to ozone change. But the detection of the ozone change of 1% is nearly impossible with the current high-level instruments.

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Fig. 1 Percentage change in global spectral irradiance caused by a 1% and 3% change of total ozone compared with the uncertainty in spectral measurements arising from a 5% calibration uncertainty, a wavelength uncertainty of 0.05 nm, and a detection threshold of 10−6 W m−2 nm−1 . The change in irradiance was calculated for a solar zenith angle of 30◦ and a total ozone column of 300 DU

Only between 293 and 295 nm the change of irradiance due to the change in ozone is above the uncertainty limit of current measurement systems. At shorter wavelengths the change in irradiance increases but the uncertainty is increasing more rapidly. A good way of assessing the performance of the own measurement system is to intercompare with other instruments. The IMUK (Institute of Meteorology and Climatology) spectroradiometer as well as the NDACC (Network for Detection of Atmospheric Composition and Change) spectroradiometer operated by the National Institute for Water and Atmospheric Research of New Zealand (NIWA) took part in the Fifth North American UV Intercomparison for spectroradiometers, which was held from 13 to 21 June 2003 at Table Mountain, located 8 km north of Boulder, Colorado, USA (Fig. 3). The campaign was organised by the Central UV Calibration Facility (CUCF) of the National Oceanic and Atmospheric Administration’s (NOAA) Air Resources Laboratory (Wuttke et al. 2006a) (Fig. 2). Figure 3 illustrates the results of the comparison campaign. For wavelengths between 295 and 315 nm all instruments agree to within ±8%. In the UVB the deviation between BSI (Biospherical Instruments Inc.) and IMUK is less than 5%. For wavelengths larger than 320 nm, the spectral irradiance measured by IMUK is about 4% lower compared to the BSI instrument. A step change of about 5% occurs at 500 nm, but the deviation between IMUK and BSI stays below 4% for wavelengths longer than 500 nm. At 500 nm an IMUK instrument changes detectors (from PMT to silica diode) and gratings (from 2,400 to 1,200 grooves/mm). Compared to the NIWA spectroradiometer a slight spectral dependence can be observed. At 298 nm the NIWA instrument measures 8% lower than the IMUK instrument.

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Fig. 2 Intercomparison of spectroradiometers at Table Mountain, Boulder, on 22 June 2003. The picture shows the instruments of NIWA (right) and IMUK (middle). The BSI is not to be seen in picture

Fig. 3 Spectral ratios NIWA/IMUK and BSI/IMUK for after midday measurement on 22 June 2003. In the NIWA/IMUK ratios a slight spectral dependency is seen. The longer the wavelengths the larger the deviations

The ratio increases steadily with increasing wavelength. At 450 nm the irradiance of the NIWA instrument is about 2% higher than the one measured by IMUK (Wuttke et al. 2006a).

UV Trends Even if we could assume perfect instruments, the natural variability of UV radiation sets limits to the detection of unambiguous long-term trends. By analysing the longest time series of measured spectral UV irradiance in Europe, which have


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been started in the early 1990s in Thessaloniki, Greece and Sodankylä, Finland, long-term UV trends can be assessed. At Sodankylä, a reduction of the total ozone column of −5.7% per decade has been observed from 1979 to 1998. For Thessaloniki, a decrease in total ozone of −4.5% per decade has been observed (Glandorf et al. 2005). However, the regression lines show no uniform behavior, but vary irregularly in strength and from one solar zenith angle to the next if all sky conditions are analysed. It can be concluded that both time series do not yet show an unambiguous yearly trend in UV irradiance. Even if there was a constant ozone trend over that period it has been shown that even the longest European time series of UV irradiance are still too short to show distinct trends. However, this does not imply that no changes have occurred; it only shows that the large natural variability of UV irradiance (Seckmeyer et al. 2008) has so far hindered the identification of unambiguous trends. In statistical literature it has been described that statistics tests fail in case of data with high autocorrelation. In this case statistics tests may find statistically significant trends, although the data have no trend, but are taken from random number generator (von Storch & Zwiers 2002). In the case of UV irradiance we often found statistically significant trends, but UV data are highly auto-correlated as well. Therefore, the finding “statistically significant trend” must be treated with great caution. The only way to find significant and consistent UV trends is the continuation of high-quality long-term measurements of spectral UV irradiance. Since 1990 there has been a considerable variability of total ozone, but no steady decrease could be observed. Consequently, no general UV increase could be expected due to ozone changes. For Thessaloniki there is a slight increase in ozone from 1990 of 1.2% per decade as seen in Fig. 4 (Zerefos et al. 1997, 1998). But also the irradiance at 324 nm is increasing for clear sky cases between 1990 and 2006 (i.e., at 305 nm the irradiance increases 5.4% per decade, at 324 nm there is an increase of 9.2% per decade, and the increase of erythemal irradiance is about 7.7% per decade). The cause for the increase of solar UV irradiance can be attributed to the reduction of the content of aerosols in the atmosphere. In other context this effect has been named “global brightening” (Wild et al. 2005).

UV Scenarios Model calculations of erythemally weighted irradiance have been based on the ozone predictions calculated by several chemistry–climate models (CCM) taking part in CCMval (SPARC Chemistry-Climate Model Validation) activity. For these calculations it has been assumed that other UV influencing factors like clouds, aerosols and albedo remain constant over the next decades. Although this is a very unlikely scenario, the calculations indicate that ozone-induced changes of UV irradiance are currently close to maximum and under this scenario they will revert to pre-1980 levels at mid-latitudes between about 2040 and 2070, but later at southern high latitudes (Tourpali et al. 2007). If the projections for future Ozone from

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Fig. 4 Change of solar irradiance and total ozone for 305 and 324 nm in Thessaloniki between November 1990 and November 2006 (Updated from Zerefos et al. 1998)

Fig. 5 Model calculations of erythemal UV irradiance in the northern mid-latitudes based on the ozone predictions calculated by several CCM models from SPARC CCMval activity. For these calculations it has been assumed that other UV-influencing factors like clouds, aerosols and albedo remain constant. These calculations indicate that ozone-induced changes are close to its maximum

CCMval are correct, the factors such as clouds, albedo and aerosols are likely to dominate future changes in UV radiation over these time scales (Bais et al. 2007) (Fig. 5).


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Radiance Distributions As pointed out in Chapter 2, UV irradiance is only a simplified UV quantity. In reality the spectral UV radiance should be investigated. However, to date there are only a few ground measurements of absolute spectral sky radiance, although spectral sky radiance is a fundamental measurement quantity for the characterisation of the atmospheric radiation field. It can be seen from the results of spectral sky radiance measurements in Hannover (52.23◦ N, 9.42◦ E), Germany, that the spectral sky radiance is a function of incident and azimuth angle, and is not uniformly distributed over the sky. A distinct minimum can be found for all wavelengths opposite of the Sun whereas a maximum is to be found around the Sun. For wavelengths shorter than 500 nm the distribution of sky radiance is much more homogeneous and concentrates only around the Sun. For longer wavelengths the distribution of sky radiance becomes more inhomogeneous and concentrates additionally around the Sun also close to the horizon. The reason for the homogenous distribution of sky radiance for short wavelengths (Fig. 6) is

Fig. 6 Spectral sky radiance measured at 305 nm in Hannover, Germany (52.23◦ N, 9.42◦ E) at 60 m above sea level on 2 May 2007 for a SZA of 39◦ . The sky radiance is high around the solar disk

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Fig. 7 Spectral sky radiance measured at 500 nm in Hannover, Germany on 2 May 2007 for a SZA of 38◦ . The sky radiance is high towards the horizon and a slight enhancement of radiance at the horizon can be seen opposite of the solar disk

Fig. 8 Spectral sky radiance measured between 290–1,100 nm in Hannover, Germany on 2 May 2007. Each spectrum starts with an increase of sky radiance up to 330 nm followed by a constant part up to 450 nm. Then the spectra decrease to the maximum measured wavelength of 1,100 nm


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Fig. 9 Radiation processes in an Antarctic enviroment, German Neumayer Station (70◦ 39 S, 8◦ 15 W). The picture has been taken during midnight sun in the southern direction

Rayleigh scattering since it is most effective for short wavelengths (Lenoble 1993). The 500 nm radiance map (Fig. 7) is inhomogeneous and shows horizon brightening in the direction of the Sun (Pissulla et al. 2007). Measurements of spectral sky radiance from different directions are presented in Fig. 8. Since sky radiance is scattered radiation, the actual values depend on the atmospheric constituents. The combination of extraterrestrial solar spectrum and Rayleigh scattering result in almost wavelength independent spectral sky radiance between 330 and 450 nm. Above 450 nm the spectral sky radiance decreases with increasing wavelength (Pissulla et al. 2007). Example of the complexity of the radiation processes in an Antarctic environment is shown in Fig. 9 (Wuttke & Seckmeyer 2006; Wuttke et al. 2006b). Despite the progress made in recent 2 decades, the full complexity of such conditions still hinders an accurate calculation of the UV field by radiative transfer models, mainly due to the lack of input parameters.

References Bais, A. F., Lubin, D. (lead authors), Arola, A., Bernhard, G., Blumthaler, M., Chubarova, N., et al. (2007). Surface ultraviolet radiation: Past, present, and future, Chapter 7. 2006 WMO/UNEP Ozone Assessment, WMO.

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Cordero, R. R., & Seckmeyer, G. (2007). Uncertainty evaluation of the spectral UV irradiance measurements. Measurement Science & Technology, accepted. Cordero, R. R., Seckmeyer, G., Pissulla, D., & DaSilva, L. (2007). Uncertainty evaluation of the spectral UV irradiance evaluated by using the UVSPEC Radiative Transfer Model. Optic Communications, doi: 10.1016/j.optcom.2007.04.008. Cordero, R. R., Seckmeyer, G., Pissulla, D., & Labbe, F. (2008). Uncertainty of experimental integrals: Application to the UV index calculation. Metrologia, 45, 1–10. Glandorf, M., Arola, A., Bais, A. F., & Seckmeyer, G. (2005). Possibilities to detect trends in spectral UV irradiance. Theoretical and Applied Climatology, doi: 10.1007/s00704-0040109-9. Lenoble, J. (1993). Atmospheric radiative transfer. Hampton: Deepak Publishing. Pissulla, D., Seckmeyer, G., & Wuttke, S. (2007, September). Sky radiance in Hannover, Germany and Antarctica. (Poster presented at “100 Years of UV Research, Davos” Conference, Davos). Seckmeyer, G., Bais, A. F., Bernhard, G., Blumthaler, M., Eriksen, P., McKenzie, R. L., et al. (2001). Instruments to measure solar ultraviolet radiation, Part I: Spectral instruments. WMOGAW, Tech. Rep. 30. Seckmeyer, G., Pissulla, D., Glandorf, M., Henriques, D., Johnsen, B., Webb, A. R., et al. (2008). Variability of UV irradiance in Europe. Photochemistry and Photobiology, 84, 172–179. von Storch, H., & Zwiers, F. W. (2002). Statistical analysis in climate research. Cambridge: Cambridge University Press. Tourpali, K., Bais, A. F., & Kazantzidis, A. (2007, September). Clear sky UV simulations in the 21st century based on CCM predictions. (Paper presented at “100 Years of UV Research” Conference, Davos). Wild, M., Gilgen, H., Roesch, A., Ohmura, A., Long, C. N., Dutton, E. G., et al. (2005). From dimming to brightening: Decadal changes in solar radiation at Earth’s surface. Science, 308, 847–850. Wuttke, S., & Seckmeyer, G. (2006). Spectral radiance and sky luminance in Antarctica: A case study. Theoretical and Applied Climatology, 85, 131–148. Wuttke, S., Seckmeyer, G., Bernhard, G., Ehramjian, J., McKenzie, R. L., Johnston, P., et al. (2006a). New spectroradiometers complying with the NDSC standards. Journal of Atmospheric and Oceanic Technology, 23(2), 241–251. Wuttke, S., Seckmeyer, G., & Koenig-Langlo, G. (2006b). Measurements of spectral snow albedo at Neumayer, Antarctica. Annales Geophysicae, 24, 7–21. Zerefos, C., Meleti, C., Balis, D., Tourpali, K., & Bais, A. F. (1998). Quasi-biennial and longerterm changes in clear sky UV-B solar irradiance. Geophysical Research Letters, 25, 4345–4348. Zerefos, C. S., Balis, D. S., Bais, A. F., Gillotay, D., Simon, P. C., Mayer, B., et al. (1997). Variability of UV-B at four stations in Europe. Geophysical Research Letters, 24, 1363–1366.

Ozone and Ultraviolet Radiation: Informing the Public C. Thomas McElroy

Good morning friends and colleagues. It was a very interesting prospect for me to be presenting some history and science concerning the ozone layer both here in Athens and in Montreal. You can look back on your whole career and evaluate what you have contributed and learned from the experience. I must say, I very much responded to the feelings that some of the earlier speakers such as Mike Kurylo and Susan Solomon described, and started to think about how my life became entangled with this whole issue starting back even before the days of CFC concerns. And of course it led me to prepare a 3-h talk—and obviously there is no audience for that! But nevertheless, I am going to try and cover a few highlights of that longer tale. So, what are the issues that come forward immediately in my mind? It is the number of interesting anniversaries that are going on right now. Not just the 20th anniversary of Montreal protocol but the 25th anniversary of the introduction of the Brewer Ozone Spectrophotometer. It is also the 18th year we have had our Brewer User’s Workshops to encourage and help people to use their Brewer instruments more effectively. So these many thoughts crowded together in my mind and I tried to make sense out of them and produce something of a synthesis that would help to understand some of the broad aspects of the ozone issue and that would relate to some of the unique things that we were doing in Canada. It is particularly fitting that this meeting is being held here in Greece, hosted by Christos Zerefos, because the first commercially made Brewer Spectrophotometer ever produced was delivered to Thessaloniki, Greece. I had the pleasure of meeting Christos and his family and the members of his research group at that time and helped to get the ozone observing program started at the Laboratory of Atmospheric Physics of the Aristotelan University of Northern Greece.

C.T. McElroy Senior Research Scientist, Environment Canada 4905, Dufferin Street, Downsview ON, Canada M3H 5T4 e-mail: [email protected]


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There were a few other things that passed through my mind, as well, when I was getting this talk together. I started doing aircraft measurements from a Lockheed Jetstar executive jet in 1972, measuring nitrogen dioxide in the stratosphere. In fact, that was the first jet plane that I was ever on, and the second time I had ever been in an airplane. About the fourth or fifth time I was on an airplane I was flying on a Concorde (#002) for about 3 or 4 h making NO2 measurements in the lower stratosphere over the Bay of Biscay. In the end I made three flights along with a number of colleagues from other laboratories, including John Harries from the UK and Barney Farmer from the jet propulsion Laboratory (JPL) in California. Figure 1 shows a view of Concorde #002 similar to what it looked like when I flew on it in November, 1973. Figure 2 shows the NO2 spectrometer used on the Concorde flights along with the pulse counter and power unit. At that time it was a major advance to have the counters display the last measurement for the operator to record manually while the instrument was integrating up the next measurement.

Fig. 1 This is a view of the interior of Concorde #002 on display at the Fleet Air Arm Museum in Yeovilton, UK. It is very much like the state the aircraft was in during the environmental flights the author participated in. The equipment down the left side was used in the flight test programme, during the development of Concorde. During the environmental flights the right hand side was taken up with scientific instruments. Downloaded from http://www.concordesst.com/002/002detail.html#

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Fig. 2 This photograph shows how the NO2 spectrophotometer was installed on Concorde. The white cylinder in the lower right is the spectrometer shown with its quartz-halogen reference lamp attached. During flight, the spectrometer was manually pointed out the window at the sun and the operator recorded the accumulated photon counts displayed on the counter box on the table at the upper left of the photo. Photo by author

But most of these things, I felt, would likely parallel the experiences of others; I wanted to find something unusual that we had done in Toronto and talk about that. And so that is what this talk is about. I began my career in atmospheric science working with Alan Brewer, whom we named the spectrometer after because he was a sort of catalyst to get the spectrometer development started back around 1965, at the University of Toronto. The photograph in Fig. 3 was taken at the 50th anniversary of the publication of the landmark paper by Alan Brewer and Gordon Dobson on the large-scale circulation of the stratosphere, afterwards called the Brewer–Dobson circulation. The measurements

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Fig. 3 This photograph of Alan Brewer was taken at the 50th anniversary celebration of the Brewer-Dobson circulation paper held at Oxford University in 1999. From left to right: Michael McIntyre, Kirill Semeniuk and Alan Brewer. The photograph was reprinted from an article by Warwick Norton (Clarenden Laboratory, Oxford, UK; [email protected]), published in SPARC Newsletter 15 on the Brewer–Dobson Workshop, 13–15 December 1999, Oxford, UK (Norton & Shuckburgh 2000)

of ozone that were available at the time provided part of the evidence that Brewer used to put forward this theory of the global-scale, indirect circulation. The two photographs in Fig. 4a, b were contributed by Alkis Bias of the University of Thessaloniki. They depict the first commercial Brewer (#005) as it appeared in Greece in 1985. Its arrival there is connected with a funny story for me. I found that I was supposed to go to Thessaloniki—I didn’t even know where it was at the time—and deliver an instrument to this fellow that I knew only remotely through the exchange of letters. I talked about it with colleagues referring to him [Christos] as ‘Zerefos the Greek’. I thought it was a little bit rude and didn’t share it with any of my Greek friends at the time, but it turned out in the long run that the association with Zorbas the Greek is actually a positive one from the Greek point of view. The photographs in Fig. 4a, b show the old 1982, manually operated version of the Brewer, first run by a Commodore 8-k PET—the 8-k refers to 8k bytes, the amount of memory the computer had. In the mid-1980s, if you can cast your mind back, there was a lot of science going on. We had a notable debate going on about the ozone issue, with serious scientific findings being ‘challenged’ in the public realm by politically and economically motivated ‘experts’ who were making outrageous pseudo-scientific statements.


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Fig. 4 These two photographs show the first commercially produced Brewer, #005, as it appeared in 1982. (a) The upper photograph shows the Commodore PET control computer and the (b) lower photo shows the Brewer outdoors in place to make manually pointed measurements. All Brewers are fully automated now. Photo taken by Professor A. Bais

The public were confused, as were the politicians and policy makers. There was a lot of public concern but they really didn’t know what was going on. And so we cast around for ideas about how to handle this problem. Propaganda didn’t seem the right way to approach the issue since the promulgation of sensible science by the US government was being challenged. But, possibly, the dissemination of public information might be the right idea and did turn out to be the best approach.

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We tried to come up with a way that we could easily inform the public on a week-by-week basis what was going on in the ozone layer. The idea was to develop in the average person an appreciation for what was normal and what was abnormal and inculcate in them a feeling for how frequently abnormal events were taking place. In other words, to let them see what the ‘experts’ were seeing in the data. This concept evolved into the UV-Index and Ozone Watch programs. These programs are supported by an ozone-and-UV forecast model which has been in operation since 1992, the time when the UV-Index was launched in Canada. The way it came about was that EC Scientist, Jim Kerr, was analysing a lot of data collected by the Brewer, which by that time had been modified to measure UV radiation as well as ozone, and he found that a statistical model could be used to accurately predict tomorrow’s ozone based on the forecast meteorological fields such as the 100-hectopascal temperature. He also developed a statistical model from the Brewer data that coupled the surface UV radiation level to the total column ozone amount. So with these two elements it was possible to use the weather forecast model to automatically turn out a forecast of the UV-Index for dissemination to the general public. The operational implementation of these ideas was carried out and published by Burrows et al. in 1994 (Fig. 5). It was fun for me here in Athens to finally meet Brian Diffey, because it was the Diffey action spectrum that we used in 1992 in order to produce the damaging ultraviolet radiation (DUV) numbers that form the basis of the UV index. The Index is actually a physically based number but was arbitrarily scaled to lead to a value of ten in Toronto at the time of the year when the sunburning potential of the solar UV radiation is at its highest (in July). The scale is open-ended and can hit values close to 20 up in high mountains under low-ozone and high-surface-albedo conditions. Figure 6 shows a page from the Burrows paper (Ibid.) with a comparison between observations and predicted values for a day with a relatively clear sky. Ozone information was actually presented to the public in the following way. We compared a climatology based on past ozone measurements dating back as far as the IGY to 2-week averaged values of ozone and every Friday put out a new forecast that showed what the change in ozone was at measuring stations across Canada. This worked very well for the media, as well for the public, to understand that ozone is quite variable. But that a persistent pattern of negative numbers, small negative numbers, could be clearly seen. The message began to get across that things, in fact, had changed in the ozone world through the 1980s and 1990s. A sample ozone plot of the type made available to the media and on-line is shown in Fig. 7. The other important thing that we started to report is the UV Index. It was forecast on a daily basis and became part of the weather forecast and remains today a part of the daily weather forecast in Canada throughout the hot months of the year when the numbers are significant. It has also been adopted now by the United Nations Environment Programme (UNEP) and is in use in more than 30 countries. Each year a long-term forecast is prepared by Environment Canada in the spring which makes a prediction of what the ozone levels and UV levels will be throughout the summer. This forecast is intended to alert people to watch our UV forecast


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Fig. 5 This figure shows the cover of the September, 1994 edition of Meteorological Applications where the paper on the operational UV Index forecast model was described by Burrows et al. (1994)

throughout the summer months when they will be potentially exposed to high UV doses and warn them about the possibility of days with particularly low ozone in the early spring. In the late 1980s and 1990s a process went on where outspoken ‘experts’ were denying the possibility that a tiny amount of a relatively heavy gas (CFCs) could cause havoc in the stratosphere. Several arguments were made denying the possibility that ozone depletion was real. The ‘nay-sayers’ argued that ozone was not changing, which was a difficult case to prove in the beginning, which of course was the reason for generating the ozone trends-panel and starting to produce the WMO Ozone Assessment reports. They also argued that even if ozone were changing, the change would be so small that it would be lost in the variability in the ozone amount from day to day. And that, of

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Julian Day, [1993] Fig. 6 This figure from the Burrows et al. paper shows a comparison between predicted and measured UV Index values. The 18-h forecast is compared to climatological values based on average TOMS satellite ozone and the Dobson ozone climatology and to actual Brewer observations (Plot based on Fig. 6 in Burrows et al. (1994))

course, is not entirely correct because we integrate the UV-B dosage over days and weeks, and so changes in the average level are important as well as changes in the individual daily values. Finally it was argued that changes in cloudiness or aerosol or whatever would make it impossible detect any change anyway. So, it will never be possible to measure and prove that UV is actually changing. Jim Kerr did a lot of data analysis and came up with an interesting look at the problem. He did a simple linear regression of ozone amount and UV radiation with respect to time over 5 years, and looked to see if they were changing together. He asked the question, ‘Does the analysis provide any evidence that there is a process that is changing the amount of ozone and is it, in fact, making a measurable change in UV radiation at the surface?’ The rate of change of ozone and the change in UV radiation over the period were in agreement. But a more interesting result also presented itself. It turned out (not surprisingly in retrospect) that the trends at individual wavelengths matched the absorption spectrum of ozone. A plot from the Kerr and McElroy (1993) paper is reproduced as Fig. 8. This was an important result because it showed, using real measurements, that a small average change in ozone could cause a change in UV radiation that could actually be detected in a moderately long-term observation time series. When this was


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Fig. 7 The Ozone Watch programme reports ozone changes from historical levels in the form presented here. The climatology based on pre-1980 measurements is used as a basis of comparison to 2-week averaged ozone data from the Canadian column ozone network. The deviations are reported as a percentage of the reference values. Environment Canada

published in the Journal Science of course there was considerable media attention. The nay-sayers wanted to see this result discredited because it was one of the legs of the three-legged ‘stool’ of denial that needed to be taken off. We made the data available and Fred Singer and his colleagues at the University of Virginia analyzed it and tried to show that the analysis didn’t prove anything. They claimed that the trends at each individual wavelength were not statistically significant and therefore the result was not useful. However, the test they were using was clearly not appropriate because it is virtually impossible for the spectrum of ozone to come through in the wavelength-dependent trends if the trend at each individual wavelength is not significant! One of the interesting points they made was that it was a really unusual year in 1993 because we had the ‘storm of the century’ and that caused an unusually low ozone value in one of the last years in the analysis. But, of course, ozone scientists know that bad weather associated with low pressure areas is correlated with high

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Fig. 8 The winter and summer linear trends in UV-B radiation as a function of wavelength. There is a striking similarity between the shapes and detailed features of these curves with those of the ozone absorption spectrum. This establishes the link between the positive trend in UV-B and the negative trend in ozone, both observed over the same period (From Kerr & McElroy 1993)

levels of ozone. But nevertheless that got past the referees and into their rebuttal paper in Science anyway. This is a short talk covering a lot of material, but focused mostly on the impact the Brewer Ozone Spectrophotometer has had on the ozone and UV issues. There are now nearly 200 Brewers being operated in 41 countries. Thirty-nine of these countries are submitting data from their measurements to the World Ozone and UV radiation Data Centre in Toronto. The Centre was set up in 1962, just after the IGY, and is enjoying its 45th anniversary now. More than 30 countries are now regularly reporting a UV Index, which is essentially the same as the one we developed, but under a program propagated by UNEP. It has already been touched on a number of times by different speakers, but it is an important question: ‘Can we sustain the scientific effort needed in order to see the ozone come back to normal levels?’ If we want to detect a change of 1%, let’s say over a decade, we have to have instruments that have absolute accuracy of better than 1% in order to achieve that goal. Can we get the global network to that level and maintain the effort it takes to keep it there? And equally important, can we maintain the satellite capability that allows us to propagate that level of accuracy over the entire globe? I had a lot of help along the way in the course of my career. Table 1 is a list of names of some of those people. And some of the names on this list are people


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Table 1 A list of the names of some of the people that helped the author to succeed in his research career. Unfortunately several of these people have passed away in the last year or so and are sadly missed. They include Alan Brewer, Art Schmeltekopf and Ralph Nichols Alan W. Brewer David I. Wardle James B. Kerr Gordon Shepherd Bill Gee Aaron Ullberg Clive Midwinter James Drummond Mike Kurylo Bob Hum Ueli Rentsch Art Schmeltekopf

Michael Prather Ralph Nichols Alex Chisholm Wayne Evans David Barton Bob Hall Stella Melo Heather Mackey Chris McLinden Jack McConnell David Francis And many others. . .

sitting in this room. It has been a pleasure to have worked with all of them. And I hope to go on doing so for some time even though I am close to the magic 35 years in Canadian government service that will allow me to retire with a full pension. Thank you very much. COORDINATOR: I think we have for a couple of questions, if there are any. Yes. Question: Can Brewer and Dobson data be used together to do long-term trend analysis? MCELROY: Dobson and Brewer measurements can be combined in time series analysis. The Dobson measures roughly ozone plus the amount of SO2 . If you actually have the ozone and the SO2 as separate measurements from the Brewer you can do a fairly accurate recreation of the ozone time series as it would be seen by the Dobson. There is another issue, though. We are doing a lot of work right now investigating the stray light behaviour of our instruments. The double-spectrometer version of the Brewer has essentially no stray light. The single-monochromator version has significant stray light. The ozone as measured by a single Mark II Brewer will be underestimated by something like 8% when you have a column of 1,000 DU in the path. And the Dobson AD measurement is affected more strongly by stray light than even the single Brewer measurements. So, we have some work to do there because there is some possibility that satellite data that has been validated against ground-based network data, is probably wrong because whatever corrections have been made are probably causing the satellite data to conform to ozone values that are too low in the polar regions at the times of the year when stray light is significant.

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References Burrows, W. R., Vallee, M., Wardle, D. I., Kerr, J. B., Wilson, L. J., & Tarasick, D. W. (1994). The Canadian operational procedure for forecasting total ozone and UV radiation. Meteorological Applications [METEOROL. APPL.], 1(3), 247–265. Kerr, J. B., & McElroy, C. T. (1993). Evidence for large upward trends of ultraviolet-B radiation linked to ozone depletion. Science, 262, 1032–1034. Norton, W., & Shuckburgh, E. (2000). Report on the Brewer-Dobson Workshop, Dec. 13–15, 1999. SPARC Newsletter, 15.

A Contemporary Strategy for Sun Exposure Brian Diffey

Abstract Human behaviour is a much greater determinant of the risk of skin cancer than ozone depletion and it is likely to prove impossible to look back at the end of this century and be certain what effect ozone depletion had on skin cancer incidence world-wide. Evidence is emerging implicating a low vitamin D status in a range of adverse health conditions, including some internal cancers, and this is leading to a re-appraisal of just what is the balance we need to achieve in terms of our solar UV exposure in order to identify how much exposure is “enough” against a confounding background of environmental, climatic, behavioural and genotype influences. A strategy is proposed for the outdoor exposure of indoor workers living at temperate latitudes that attempts to approach the “optimum” exposure. Keywords Skin cancer · ozone depletion · vitamin D · behaviour · global warming

Introduction For 30 years there has been a concern that anthropogenic damage to the Earth’s stratospheric ozone layer will lead to an increase of solar ultraviolet (UV) radiation reaching the Earth’s surface, with a consequent adverse impact on human health, especially to the skin. The most serious effect of changing UV exposure of human skin is the potential rise in incidence of skin cancer and the most sophisticated attempt to estimate the impact of ozone depletion on this disease was made by Slaper et al. (1996) and subsequently reported in the 1998 UNEP assessment (United Nations Environment Programme, Environmental effects of ozone depletion, 1998). These estimates suggest that the increased risk of skin cancer due to ozone depletion would not have been adequately controlled by the implementation of the Montreal Protocol alone, B. Diffey Emeritus Professor of Photobiology, Dermatological Sciences, Institute of Cellular Medicine, University of Newcastle NE2 4HH, UK e-mail: [email protected]


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but can be achieved through implementation of its later amendments. They indicate that under the Montreal Amendments, incidences of skin cancer in north-west Europe will peak around the mid-part of this century at an additional incidence of about 90 cases per million people. For the UK population of approximately 60 million this would imply about 5,000 additional cases of skin cancer per year, which represents a relative increase in risk of about 7% compared with current incidence of around 70,000. Thereafter, the increase in disease rates attributable to ozone depletion is expected to return almost to zero by the end of this century; as skin cancer typically results from several decades of UV exposure the response of the disease follows later than changes in exposure. These quantitative risk estimates for skin cancer are only valid if all other factors that determine risk, notably human behaviour, remain unchanged. This is extremely unlikely given that skin cancer rates in most predominantly white-skinned populations have been rising rapidly for several decades. In the UK, for example, rates have been increasing steadily for more than 30 years with a doubling time of 16 years, presumably as a consequence of changes in outdoor exposure and fashion over the preceding 50 years or so. If the same trend should continue then by around 2050, when the peak of the effect of ozone depletion on skin cancer incidence is predicted to occur (Slaper et al. 1996), the additional cases due to this effect will only be 1% of the naturally occurring incidence at that time. Given the uncertainties that exist with regard not only to atmospheric change but equally to human behaviour, it is likely to prove impossible to look back at the end of this century and be certain what effect ozone depletion had on skin cancer incidence world-wide. Future social trends remain uncertain but the sun exposure of northern Europeans is likely to continue to increase due to sun-seeking holidays associated with low-cost air travel and the opportunity for more leisure time outdoors at home as a consequence of global warming. As a result, skin cancer incidence is likely to continue to rise, but as a result of behavioural factors consequent to, rather than directly attributable to, environmental changes (Diffey 2004). Whilst the UV component of sunlight is largely responsible for the deleterious effects on the skin that are associated with sun exposure, there is an established beneficial effect of solar UV on the skin, which is the synthesis of vitamin D and its role in maintaining bone health. But now we see evidence emerging implicating a low vitamin D status in a range of adverse health conditions, including some internal cancers (Holick 2008), and this is leading to a re-appraisal (Lucas et al. 2008) of just what is the balance we need to achieve in terms of our solar UV exposure in order to approach the minimum of the conceptualised disease burden: UV exposure curve is shown below (Fig. 1). The UV dose-axis is deliberately qualitative since the balance between the level and pattern of UV exposure that results in adequate vitamin D synthesis but does not increase the harmful consequences of exposure remains to be defined. There is currently disharmony between many health professionals whose role is to prevent, diagnose and/or treat sun-induced skin disease – especially skin

A Contemporary Strategy for Sun Exposure

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cancer – on the one hand and proponents of the perceived under-rated health benefits of vitamin D, and by association sun exposure, on the other (Gillie 2006; Diffey 2006). If the literature continues to grow with carefully conducted case-control and other studies on the benefits of sun exposure, coupled with wide acknowledgement of the deleterious effects of excessive sun exposure, we can expect to see a coming together of these polarised views. The challenge over the coming years will be to identify how much UV radiation exposure is “enough” against a confounding background of environmental, climatic, behavioural and genotype influences (Diffey 2007). However, from a consideration of the variation in exposure throughout the year (Diffey 2008), the following strategy is proposed for the outdoor exposure of indoor workers living at temperate latitudes that attempts to approach the “optimum” exposure. Type of exposure

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References Diffey, B. L. (2004). Climate change, ozone depletion and the impact on ultraviolet exposure of human skin. Phys. in Med. and Biol., 49, R1–R11. Diffey, B. L. (2006). Do we need a revised public health policy on sun exposure? Br. J. of Dermatol., 154, 1046–51. Diffey, B. L. (2007). A contemporary strategy for sun exposure. Expert Review of Dermatology, 2, 139–42. Diffey, B. L. (2008). A behavioural model for estimating personal exposure to solar ultraviolet radiation. Photochem. Photobiol., 84, 371–75. Gillie, O. (2006). A new government policy is needed for sunlight and vitamin D. Br. J. of Dermatol., 154, 1052–61. Holick, M. F. (2008). Deficiency of sunlight and vitamin D. Br. Med. J., 336, 1318–19. Lucas, R. M., McMichael, A. J., Armstrong, B. K., & Smith, W. T. (2008). Estimating the global disease burden due to ultraviolet radiation exposure. Int. J. Epidemiol., 37, 654–67. Slaper, H., Velders, G. J. M., Daniel, J. S., de Gruijl, F. R., & van der Leun, J. C. (1996). Estimates of ozone depletion and skin cancer incidence to examine the Vienna Convention achievements. Nature, 384, 256–58. United Nations Environment Programme (1998). Environmental effects of ozone depletion: updated, UNEP, Nairobi, 1998.

Part VII

Initiatives – Recent Reports

Findings from the 2006 Ozone Scientific Assessment for the Montreal Protocol Akkihebbal Ravishankara

Abstract The 1987 Montreal Protocol on Substances that Deplete the Ozone Layer called for global action to reduce the use of chlorofluorocarbons (CFCs) and halons. In addition, it requested periodic expert assessments of, among other things, the available scientific information related to the Earth’s stratospheric ozone layer. Since 1987, the Parties have used the scientific assessment information as part of the basis for their decisions to amend or adjust the Montreal Protocol to strengthen its protection of the ozone layer. Observations now show that ozone-depleting substances in the lower atmosphere as well as in the stratosphere are decreasing, and the ozone layer is showing some early signs of recovery. A member of the 2006 Assessment Scientific Steering Committee, Dr. Ravishankara will discuss the findings of the current Science assessment, whose preparation involved more than 300 scientists from 34 countries as lead authors, co-authors, contributors, and reviewers. Keywords Montreal Protocol · ozone-depleting substances · ozone trends · ozone assessment · stratospheric ozone layer

Good afternoon. I would like to thank you for this opportunity to be here and talk about the WMO/UNEP ozone assessments for the Montreal Protocol. I should first point out that a lot of people contributed to these assessments and it is good to see that many of you are here. And I want to thank the Scientific Assessment Panel Co-chairs who have been involved since the very first assessment, namely, Dan Albritton and Bob Watson, who have contributed enormous amounts of time and effort over many years on these assessments. Also, I want to offer my personal thanks to Co-chair Dr. Ayité-Lô Ajavon as well as the members of the Scientific Steering Committee who have been so heavily involved with this latest (2006) assessment.

A. Ravishankara National Oceanic and Atmospheric Administration, Boulder, Colorado, USA e-mail: [email protected]


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The 2006 assessment involved more than 300 scientists as lead authors, coauthors, contributors, and reviewers. The assessment was delivered to the Parties to the Montreal Protocol and the information it contains has also been described at meetings in Nairobi and Montreal. It has been fully reviewed three times within the international scientific community, which is a very important way to make sure that the science is good and is expressed well in the document. The 2006 assessment is the sixth in a series that the Science Assessment Panel has done for the parties. As you know, the reports have had various colors; if anyone wants to take a guess at what the next color is going to be, I will be happy to let them. The 2006 assessment answers the question of how well the Montreal Protocol is working in this accountability phase. Are things working as we expected? And what does the future portend? Figure 1 shows the cover of the executive summary of the ozone assessment. It shows the abundance of ozone-depleting substances in the atmosphere. That has not been touched upon very much here and I will say a few words. As I said, the bottom line message is that the Montreal Protocol is working, as reflected by the observed trends in the ozone-depleting substances. There are some questions that one could ask about ozone trends and what the UV trends are going to be and how other factors, especially things such as climate and atmospheric composition, affect stratospheric ozone.

Fig. 1 Cover of the executive summary of the ozone assessment

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Fig. 2 ODS production

First a few words about ozone-depleting substances. Figure 2 is a picture of the ozone-depleting substances, chlorofluorocarbons (CFCs) in dark and hydrochlorofluorocarbons (HCFCs) in this gray area. HCFCs as you know are replacements, transitions from CFCs to non-CFCs. Although they do destroy ozone, they are not as efficient at it as CFCs. A simple point about CFCs is that they will continue to contribute to ozone depletion into the middle of the twenty-first century. But the key thing is that there is a significant impact from the decision in Montreal to face the CFC problem early on. Looking ahead, the HCFCs are going to be a main contributor to the ozonedepleting substances in the atmosphere. The release of “banked” CFCs (i.e., the CFCs produced but not yet released) and halons will also contribute. One of the issues that we must consider is how can we translate the production information into an estimate of emissions to the atmosphere. There is production, consumption, and emissions. We know that the way emissions and production have been reported in the past, and will be in the future, can lead to various uncertainties in attributing ozone-depleting substances to the specific areas, sources, regions and possibly even sectors. Observations have given us very early indications that ozone-depleting substances in the lower atmosphere as well as in the stratosphere are decreasing. The observations come from several sources to give us this collective picture. Very clearly there is a decrease in ozone-depleting substances expressed as equivalent effective chlorine (EECl) in this particular case. EECl has reached the maximum and it is decreasing as time progresses. The question of course is how to predict what is going to be happening with regard to this important issue in the future. And there is also the question of how short-lived species have contributed to the trends of ozone-depleting substances and how they might affect the future abundances. The shorter-lived substances such as methyl chloroform and methyl bromide are the ones that have contributed most to the decrease in equivalent effective stratospheric chlorine in the atmosphere. But the CFCs are still there and methyl chloroform is almost gone. Methyl chloroform is not going to help very much for the long term. On the other hand if the emissions of short-lived substances are reduced, we have a very significant impact in the short term. And when considering

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emissions and future predictions, species like methyl bromide are important. Methyl bromide is emitted by both natural and anthropogenic sources. The effectiveness of bromine in ozone depletion is dependent upon the chlorine abundance. The latter will continue to change in the future. Because of the coupling of chlorine and bromine, it is challenging to project the future levels of equivalent effective stratospheric chlorine (EESC). This is one of the things to think about for the future. The question of recovery of the ozone layer is a very important issue. People ask this question, and rightfully so, and we have to think about what it is. What is recovery? Recovery of what, from what effect, and why do people care? The return of the ozone layer to the pre-1980 values is what is operationally defined in this figure as the recovery, but the question of course is what is the natural variability. The closer you get to this recovery time, the harder it will be to see when it is actually “recovered,” because of natural variability (Fig. 3). Can there be a better definition, do we need this concept, do we talk about super recovery, etc.? There is also the baseline issue: why do we use 1980? There are many other factors. This figure showing ozone recovery stages is in the Twenty Questions document. The bottom line of this is that at least for the next couple of decades and later in the century, it will be difficult to detect the recovery as the Montreal Protocol actually does what it is supposed to do. The dates of predicted ozone recovery is a complex issue with latitude dependences, and people care about these dates. Actually it is misunderstood more than you think, so one has to be very careful.

Fig. 3 Recovery stages of global zone

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But one thing that is clear from the modeling calculations is that failure to continue compliance with the Protocol would delay or even prevent ozone layer recovery. There were beautiful talks earlier in the session talking about the UV changes. Because of time constraints, I cannot describe the UV findings here. I will just add one personal note. I would suggest that the laboratory studies have contributed tremendously to understanding and dealing with the stratospheric ozone issue. And as a few people here have mentioned, there is still quite a bit to be done. With that, I thank you for your attention.

SPARC Science Supporting the Montreal Protocol Marvin A. Geller and Marie-Lise Chanin

Abstract The World Climate Research Programme (WCRP) project SPARC (Stratospheric Processes and Their Role in Climate) was established in 1992. Its initial organization was developed, in part, to help science to contribute to the WMO/UNEP Ozone assessments that provide the scientific bases for changes in the Montreal Protocol. Some examples of these contributions are given in this chapter, and SPARC’s future role relating to the Montreal Protocol is also discussed. Keywords Climate–chemistry interactions · ozone trends · prediction of stratospheric change · stratospheric temperature trends · stratosphere–troposphere dynamical coupling

Introduction In 1992, the World Climate Research Programme (WCRP) adopted SPARC (Stratospheric Processes and Their Role in Climate) as one of its projects. Then, there was a great deal of ongoing scientific work on stratospheric ozone depletion, and the Montreal Protocol had been in effect for 5 years. However, there was much less appreciation of the role that the stratosphere played in the climate system. SPARC was very fortunate that the WCRP Joint Scientific Committee then included in its membership several well-respected climate scientists who not only appreciated the importance of the stratosphere, but also had themselves carried out seminal research on the stratosphere. The committee was also very fortunate to recruit many of the world’s leading stratosphere researchers to serve on that initial SPARC Scientific Steering Group (SSG). Moreover, as the terms of the SSG members expired, or as M.A. Geller (B) Stony Brook University, Stony Brook, NY 11211, USA e-mail: [email protected] M.-L. Chanin Centre National de la Recherche Scientifique, Paris, France


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they left the SSG for other reasons, the committee was able to obtain the services of outstanding scientists to fill their positions on the SPARC SSG. In the meantime, several working groups had been established to carry out SPARC activities, and SPARC was able to enlist the services of an outstanding group of scientists to serve on these groups, especially to lead these efforts. Whatever success SPARC has enjoyed is surely because of the excellence of the scientists who have participated in SPARC activities. We were privileged to lead the initial SPARC SSG, but those who succeeded us have provided excellent ongoing scientific leadership. The first WMO/UNEP Ozone Assessment was done in 1989, although there had been several previous such assessments carried out before this by national agencies. The Planning Document for SPARC was written by a group of scientists, many of whom had participated in the early ozone assessments, and we noted that there were several scientific issues where the natural process of scientists performing their research and publishing in the refereed literature was not adequate to address problems in a satisfactory fashion. Many times, different groups of scientists were analyzing different sets of data that had different spatial distributions and were for differing time periods, making definitive conclusions difficult. This being the case, the SPARC SSG decided that one of the initial functions of SPARC should be to convene leading scientists to address such issues over a multi-year period so that increasingly definitive statements could be made on such issues in successive WMO/UNEP Ozone Assessment reports. This was to be an important element in SPARC, but in addition SPARC efforts were also focused on the broader climate problem, as it involved the stratosphere. SPARC originally organized its efforts into the following three themes: • Stratospheric indicators of climate change This involved quantifying ozone changes, temperature changes, and examining stratospheric water vapor. • Stratospheric processes and their relation to climate Here, it was recognized that certain processes were not understood sufficiently to properly incorporate into models of the stratosphere, so research was needed to improve their treatment. Some of these were gravity wave effects, upper troposphere/lower stratosphere chemistry, and mixing processes in the upper troposphere/lower stratosphere. • Modeling of stratospheric effects on climate Here, it was realized that there would be an inevitable evolution from the one- and two-dimensional models that were being used to model the evolution of stratospheric ozone to fully three-dimensional chemistry–climate models in which all aspects of the chemistry–climate system would interact with each other as they do in the actual climate system. In the following section, a few examples of how SPARC efforts contributed to the WMO/UNEP Ozone Assessments are given.

SPARC Science Supporting the Montreal Protocol

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Fig. 1 Profile of ozone trends for northern mid-latitude during the 1980s as determined from satellite, Umkehr, and ozonesonde data (From WMO 1994)

Profiles of Ozone Trends Figure 1 shows a figure from the WMO/UNEP 1994 Ozone Assessment. Note that there are two altitude regions where ozone losses appear to be greatest. One is centered at about 40 km, and shows a depletion of about −8%/decade, and there is reasonable agreement among the various measurement techniques. The other is in the lower stratosphere, but there is disagreement between the sondes, which give a trend of about −7%/decade, and the SAGE trends in that region, which show a trend as large as −20%/decade. Furthermore, the error bars of the ozonesonde trends in this region do not overlap the SAGE (SAGE stands for Stratospheric Aerosol and Gas Experiment. SAGE I, II, and III were NASA instruments) curve. To address this situation, SPARC, together with the International Ozone Commission (IOC), and the Global Atmospheric Watch (GAW) established an Ozone Trends Panel. This panel evaluated the various methods for measuring ozone profiles. Their efforts motivated a reprocessing of the SAGE (Stratospheric Aerosol and Gas Experiment SAGE I, II, and III were NASA instruments). data, and the results were published in the SPARC/IOC/GAW Report #1 in 1998. These results are summarized in Fig. 2, from WMO (1998). Note that, as before, the same two altitude regions of maximum ozone loss are seen with ozone depletions of about −7.5%/decade centered at about 40 km, but the ozone losses in the lower region are about on the same order (about −7.5%/decade), albeit the trends in this lower region are uncertain due to the small amount of ozonesonde data in the analysis.

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This earlier work on ozone trends and their interpretation benefited in the following years from the modeling efforts of the GRIPS task within SPARC, as shown below. Figure 3 shows the ozone profile trends from WMO (2006) for the period 1980– 2004 for both northern and southern mid-latitudes compared with models. Note that, in both northern and southern mid-latitudes, the measured ozone trend in the upper stratosphere (centered between 40 and 45 km) is about −7.5%/decade, but observations indicate ozone losses of about −3–6%/decade in northern mid-latitudes centered between 20 and 25 km. The ozone losses in the southern, mid-latitude lower stratosphere appear to be larger, but the observational curve cuts off at about 20 km due to lack of sufficient ozonesonde data. Note that the modeled profile of the ozone trends agrees well in overall shape with the observations, but many of the models give less ozone loss than observed in the upper stratosphere. In the lower stratosphere, there is less agreement in both shape and the magnitude of the ozone losses.

Stratospheric Temperature Trends In WMO (1994), there was a similar uncertainty about the stratospheric temperature trends. This was due to separate analyses being done using different instruments, different periods of analysis, and different geographical and altitude regions. For instance, Figs. 4, 5, and 6 show three different stratospheric temperature trend determinations that appeared in WMO (1994).


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Fig. 3 Vertical profiles of ozone trends for the period 1980–2004 from observations compared with two- and three-dimensional chemical transport models (From WMO 2006)

Fig. 4 Latitudinal profiles of the estimated annual mean temperature trends in ◦ C/decade from the radiosonde analysis of Oort and Liu (1993) for the 100–50 hPa layer during the period December 1963–November 1989. Ninety-five percent confidence limits are shown, as are the hemispheric and global trends on the right (From WMO 1994)

Note that all three analyses shown in Figs. 4, 5, and 6 show a cooling trend, but Fig. 4 shows statistically significant cooling of about −0.4◦ C/decade in the northern hemisphere, with larger cooling at southern hemisphere high latitudes. Figure 5 shows cooling at northern hemisphere mid-latitudes as much as −0.5◦ C/decade at 30◦ N at about 50 hPa, with larger cooling at northern high latitudes from 1963 to 1993, and with larger cooling at northern mid-latitudes during 1979–1993. Figure 6 shows largest cooling in MSU Channel 4 (a rather broad channel peaking at about 75 hPa) in early spring in the high latitudes of both hemispheres, but with statistically significant cooling over most of the globe.

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Fig. 6 Latitude-time section of zonal-mean lower stratosphere temperature trend in ◦ C/year from MSU Channel 4 data for the period 1979–1991. Stippling denotes regions of 95% significance (From WMO 1994, analysis from Randel & Cobb 1994)

As was the case for the ozone trend profiles, the stratospheric temperature trends showed some consistency, but the differences in time period, geographical and altitude regions, and instruments gave somewhat different pictures. To address this, SPARC formed a Temperature Trends Panel that tried to bring order to the analyses by putting the various data in a common space–time frame, where possible. The result is shown in Fig. 7. Note that over the period 1979–1994, a consistent stratospheric cooling is seen at 45◦ N that ranges from about −0.5◦ C/decade in the lower stratosphere to more that −2◦ C/decade in the upper stratosphere. A more complete picture of stratospheric temperature trends over the period 1979–1998 is shown in Fig. 8.

Evolution of SPARC SPARC began during a period of ozone decline. Now, with the success of the Montreal Protocol and its subsequent amendments, we anticipate that the stratospheric ozone layer will heal. Thus, SPARC’s early emphasis on determining ozone and temperature trends required change. Also, its early emphasis on modeling ozone needs to be altered, given that the changing climate of the stratosphere will influence ozone changes and, in turn, the stratospheric ozone changes will influence the climate of the troposphere–stratosphere–surface system. This being the case, SPARC

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Fig. 8 Meridional cross-section of temperature trends (in ◦ C/decade) during January 1979–May 1998 as derived from combined SSU and MSU satellite data. Shading indicates significance at the 2σ level (From WMO 2002)


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has evolved to now be addressing the themes: 1. Climate–Chemistry Interactions – How will stratospheric ozone and other constituents evolve? – How will changes in stratospheric composition affect climate? – What are the links between changes in stratospheric ozone, UV radiation, and tropospheric chemistry? 2. Detection, Attribution, and Prediction of Stratospheric Change – What are the past changes and variations in the stratosphere? – How well can we explain past changes in terms of natural and anthropogenic effects? – How do we expect the stratosphere to evolve in the future, and what confidence do we have in those predictions? 3. Stratosphere–Troposphere Dynamical Coupling – What is the role of dynamical and radiative coupling with the stratosphere in extended-range tropospheric weather forecasting and determining long-term trends in tropospheric climate? – By what mechanisms do the stratosphere and troposphere act as a coupled system? Figure 9 gives an example of a SPARC effort in this new structure and how it supports the Montreal Protocol process. This figure shows model results for several three-dimensional chemistry-climate models where ozone depleting gases as well as greenhouse gases are varied according to a reasonable scenario that assumes compliance with the Montreal Protocol and its amendments. Note that, while there is considerable spread in the model simulations, the mean results show reasonable agreement with the observations. Note also that the model predictions show that stratospheric ozone is predicted to return to 1980–1989 values in the midtwenty-first century and then rise to greater levels. This so-called super-recovery is a consequence of cooling stratospheric temperatures resulting from the expected larger greenhouse gas concentrations during that time, and the fact that the reaction rates for ozone loss are temperature-dependent. SPARC has an ongoing project that is aimed at providing validation tests for CCMs, aiming to narrow the spread in these model projections. Some of the model results shown in Fig. 9 do more poorly than others, but no effort has been made to reject model results at this point, given that these validation efforts are at their early stages.

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Fig. 9 Left: Annual mean zonal mean total column ozone from CCMs (colored lines) and from observations (thick black region) at tropical and mid-latitude regions. The model time series are formed using scenarios described in WMO (2006) and are also smoothed as described in WMO (2006). Light gray shading between 2040 and 2050 shows the period when equivalent effective stratospheric chlorine (EESC) levels are expected to return to 1980 values in those regions. The anomalies are with respect to 1980–1989 mean values. Right: Same, but for north polar region in March and south polar region in October. Note that EESC levels are predicted to return to their 1980 values 20 years later in the polar regions. More details on these figures are given in WMO (2006)

Some Closing Comments It has only been possible to mention a few SPARC efforts in this brief presentation, so we have chosen to focus on some of SPARC’s efforts that contributed to the WMO/UNEP Ozone Assessments that are an essential part of the Montreal Protocol process. We have not mentioned other SPARC efforts such as its Water Vapor Assessment, its Stratospheric Aerosol Assessment, and its documentation on stratospheric climatology. Besides contributing directly to the Ozone Assessments, SPARC has also enriched the intellectual fabric with which the relationship between the stratosphere and the climate is being investigated. Particularly noteworthy was the first SPARC effort that motivated the organization of a NATO Workshop on Stratosphere–Troposphere Exchange. This resulted in the Holton et al. (1995) review paper on this topic, which continues to influence contemporary stratospheric research.


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Acknowledgement The SPARC efforts reported on here, as well as many other SPARC efforts not discussed, are the result of many hundreds of scientists’ efforts. Although, we were invited to author this chapter, our contributions are but a very small fraction of the overall SPARC effort.

References Holton, J. R., Haynes, P. H., McIntyre, M. E., Douglass, A. R., Rood, R. B., & Pfister, L. (1995). Stratosphere–troposphere exchange. Reviews of Geophysics, 33, 403–440. Oort, A. H., & Liu, H. (1993). Upper air temperature trends over the globe, 1958–1989. Journal of Climate, 6, 292–307. Ramaswamy, V., Chanin, M. L., Angell, J., Barnett, J., Gaffen, D., Gelman, M., et al. (2001). Stratospheric temperature trends: Observations and model simulations. Reviews of Geophysics, 39, 71–122 . Randel, W. J., & Cobb, J. B. (1994). Coherent variations of monthly mean total ozone and lower stratospheric temperature. Journal of Geophysics Research, 99, 5433–5447. WMO (World Meteorological Organization) (1998), SPARC/IOC/GAW Assessment of Trends in the Vertical Distribution of Ozone. In N. Harris, R. Hudson, and C. Phillips, SPARC Report No. 1, World Meteorological Organization Global Ozone Research and Monitoring Project-Report No. 43, Geneva. WMO (World Meteorological Organization) (1995), Scientific Assessment of Ozone Depletion: 1994, Global Ozone Research and Monitoring Project-Report No. 37, Geneva Switzerland. WMO (World Meteorological Organization) (1999), Scientific Assessment of Ozone Depletion: 1998, Global Ozone Research and Monitoring Project-Report No. 44, Geneva Switzerland. WMO (World Meteorological Organization) (2003), Scientific Assessment of Ozone Depletion: 2002, Global Ozone Research and Monitoring Project-Report No. 47, Geneva Switzerland. WMO (World Meteorological Organization) (2007), Scientific Assessment of Ozone Depletion: 2006, Global Ozone Research and Monitoring Project-Report No. 50, Geneva Switzerland.

Part VIII

Industry and the Importance of Science to Business

How Science Guides Industry Choice of Alternatives to Ozone-Depleting Substances∗ Stephen O. Andersen, Guus J.M. Velders, and Penelope Canan

Abstract This chapter documents how scientific discovery and international cooperation protect the stratospheric ozone layer and the climate. It describes how citizens, nongovernmental organizations, policy makers, and company executives historically responded to new discoveries in stratospheric ozone science and how new scientific discoveries have motivated the strengthening of the Montreal Protocol by accelerating the phaseout of hydrochlorofluorocarbons (HCFCs). At each stage of a historic scientific breakthrough, a different set of actors were the drivers of social change. Using case studies, we identify similarities and differences in how science is important to the evolving policy to protect the Earth for future generations. This chapter contrasts the historic response to science regarding chlorofluorocarbons (CFCs) with the current policy response to new scientific evidence that was the foundation of the recent global agreement accelerating the HCFC phaseout under ∗

The authors are grateful to Marco Gonzalez, K. Madhava Sarma, Scott Stone, Kristen N. Taddonio, and Durwood Zaelke for their generous review and guidance. A comprehensive global media database of news articles chronicling the path from 2007 Protocol science to 2007 Protocol HCFC Adjustment was developed by Stephen O. Andersen, Samira De Gobert, Marco Gonzalez, Nick Nuttall, K. Madhava Sarma, Rajendra Shende, Mellab Shiluli, Scott Stone, Kristen N. Taddonio, Anne-France White, and Durwood Zaelke. The database will be posted on the UNEP OzonAction web site. The views presented here are the authors’ and do not necessarily represent the views or policy of the United States Environmental Protection Agency (EPA), the Netherlands Environmental Assessment Agency, or the University of Central Florida (UCF); no official endorsement should be inferred.

S.O. Andersen (B) US Environmental Protection Agency 1200 Pennsylvania Avenue NW, Mail Code 6202 J Washington, DC 20460, USA e-mail: [email protected] G.J.M. Velders Netherlands Environmental Assessment Agency, P.O. Box 303, 3720 AH Bilthoven, The Netherlands e-mail: [email protected] P. Canan University of Central Florida 4000 Central Florida Blvd Orlando, Florida 32816-1360, USA e-mail: [email protected]


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the Montreal Protocol. The new science quantifies how the HCFC phaseout can significantly protect the climate in the immediate future, particularly if low-Global Warming Potential (GWP) refrigerants, not-in-kind alternatives, and high-efficiency technologies are encouraged by regulatory, market, and other incentives. Finally, the spatial relationship between significant scientific announcements and several of the path-breaking corporate leadership pledges that transformed markets toward ozone-safe technology are introduced. Keywords Climate · leadership · Montreal Protocol · ozone · science

Introduction: 35 Years of Ozone-Depletion Science and Policy Response Prior to the 1970s, scientists developed basic ozone science, theoretical models, and atmospheric monitoring systems without encouragement from citizen activists and environmental policy makers. In the early 1970s, public interest nongovernmental organizations (NGOs)—concerned primarily with noise—formed against the proposed super-sonic transport (SST) but soon refocused the campaign when Harold Johnston warned that nitrogen oxides produced by high-temperature SST exhaust could contribute to stratospheric ozone loss (Johnston 1971). At the same time Paul Crutzen showed that nitric oxide (NO) and nitrogen dioxide (NO2 ) can reduce ozone levels. The 1974 publication of the Mario Molina and Sherwood Rowland CFC ozone-depletion hypothesis led to a consumer boycott of CFC aerosol products that transformed North American and some European aerosol product markets to not-inkind and CFC-free aerosol alternatives. The public was concerned that depletion of the ozone layer would lead to increases in ultraviolet (UV) radiation with negative impacts for humans, such as increases in skin cancer and cataracts and disturbances in Natural and agricultural ecosystems. In the early 1980s—when scientists were exploring, testing, and confirming ozone depletion—the public was largely silent, but the United Nations Environment Programme (UNEP) was consolidating the science and taking the message directly to policy makers. By 1985 when the Vienna Convention for the Protection of the Ozone Layer was signed, scientists and policy makers had articulated the Precautionary Principle and developed a strategy of starting slowly with controls on ozone-depleting substances (ODSs) even as scientists resolved uncertainty. In 1985 and 1986, when Japanese and British scientists “discovered” the Antarctic Ozone Hole, campaigns were quickly organized to determine its cause, and policy makers rushed to sign the Montreal Protocol on Substances that Deplete the Ozone Layer—even before an empirical evidence of the link with CFCs. Now, 20 years after signing of the Montreal Protocol, new science has been a significant factor in proposals to strengthen ozone protection while also achieving extraordinary benefits to the climate.

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These extraordinary developments in the science–policy interface happened in part because both scientists and government representatives learned to work with the media to provide the public with information about scientific knowledge and its implications. UNEP—created about the time that the CFC connection to ozone layer depletion was a scientific hypothesis—played a key role in bridging the science–public information divide in its work to protect the ozone layer.1 Personal relationships built over the learning years of ozone layer protection laid the foundation for an even swifter response in 2007 to new ozone layer scientific evidence relevant to climate protection. The good news is that HCFCs, the chemical substitutes previously appreciated only as interim solutions to ozone layer depletion, can now be phased out quickly with potentially significant co-benefits for climate protection.

Case Studies of Media Reporting on Ozone Science2 On 28 May 1970 the New York Times was the first to publish an ozone-layer story and between 1970 and 2000 a total of about 45,000 English language News articles can be tracked on commercial news databases (Smith and Canan 2002).3 The first UNEP ozone press release was on 22 October 1981, reporting findings from the conference in Copenhagen organized by the Coordinating Committee for the Ozone Layer (CCOL). Media coverage of the threat of stratospheric ozone depletion grew steadily in the 1980s, was at its highest levels in 1989 and 1992, ebbed toward the end of the 1990s, but remains at a steady, although infrequent, level today—often stimulated by the annual scientific reports on the Antarctic ozone hole. About a fourth of the News articles in the last 3 decades focused on the reporting of atmospheric science, with relatively higher coverage of legal/regulatory and business/industry issues in the 1990s. “[T]he evidence suggests that the ozone hole coverage has achieved a breakthrough in the public understanding of the basic science and policy issues” (Ungar 2000).

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One year after the Rowland and Molina publication, Tom Stoel of the NRDC met with UNEP official Ramses Mikhail to request that UNEP take the lead on ozone-layer issues. With UNEP’s Governing Council permission, Dr. Mostafa Tolba created the “Co-ordinating Committee on the Ozone Layer,” the first official expert panel on the ozone layer was created in 1977. See Canan and Reichman (2002:42) citing Andersen and Sarma (2002). 2 This discussion of media is grounded on Chapter 8, “Media Coverage of the Ozone-Layer Issue,” by Don Smith and Penelope Canan, published in Andersen and Sarma (2002) Protecting the Ozone Layer: The United Nations History, Earthscan, London, pp. 291–322. 3 Smith and Canan (2002). Three hundred and twenty-four other News stories were published in the 1970s; 7,399 in the 1980s; 33,164 in the 1990s; and 2,662 News stories published in 2000 alone.

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The following three case studies of seminal events in ozone science demonstrate that successful integration of science into policy usually requires a proactive stance by the scientists themselves, non-governmental organizations (NGOs), and/or policy makers anxious to regulate.4 It begins with the involvement of Molina and Rowland who expressly strayed from the traditional expectation that scientists keep out of public policy. As Dr. Molina says: “. . . if you believe that you have found something that can affect the environment, isn’t it your responsibility to actually do something about it, enough so that action actually takes place? There was nobody else at that time that would actually fulfil that role. So that’s why Sherry (Sherwood Rowland) and I, pretty consciously then, decided to take that additional step to make sure the government would actually pay attention” (Rowland & Molina 2000).

Case Study 1: The Molina–Rowland Hypothesis, 1974–1975, Spells Danger The June 1974 publication of the Mario Molina/F. Sherwood Rowland CFC ozonedepletion hypothesis in Nature received little public attention, but there was extensive media coverage a few months later beginning with the September 1974 press conference organized at the American Chemical Society Annual Meeting by an environmental nongovernmental organization (ENGO) called the Natural Resources Defense Council (NRDC) (Brodeur 1986). The story became more exciting than the raw science alone because scientists Molina and Rowland and the NRDC linked the environmental threat to the most conspicuously unnecessary CFC products: aerosol cosmetic and convenience deodorants and hair sprays.5 The science was the foundation of the story, but the tagline was that chemical companies and their customers were to blame for environmental destruction on a global scale and something had to be done (Rowland & Molina 2000). CFC producers and industry customers quickly organized to defend CFCs, refocused industry research on key elements of the CFC/ozone-depletion theory, and established coordination with government research programmes. Business and industrial news media stayed attentive as the following examples suggest. • Business Week (17 February 1975) reported, “[S]ome scientists claim, the ozone, so vital to the earth’s ecosystem is threatened by one of the most mundane artifacts of western civilization: the aerosol spray can.” • Chemical Week (11 June 1975), reported Molina and Rowland had “conjured up [their] now-famous theory that the ozone layer in the upper atmosphere may be 4

Case Study 1 and Case Study 2 are extracted from Smith and Canan, P. (2002). Case Study 3 was written for this chapter using the same methodology. 5 As Mario Molina shared, “. . . it was in connection with spray cans, spray cans in American homes. There were on the average, I think, 30 or 40 spray cans per household at that time. And so it is the connection—just the idea that a lot of people pressing these little buttons inadvertently were actually polluting the planet—that eventually caught the attention of the press.”


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shrinking under the action of free chlorine atoms originating from chlorofluorocarbon propellants” and (16 July 1975) quoted British meteorologist Richard S. Scorer as referring to the ozone-depletion theory as “a science-fiction tale. . . a load of rubbish. . . utter nonsense,” and characterizing the Molina–Rowland computer model as a simplistic representation of “exceedingly complex chemical and meteorological processes.” • Science Digest reported (January 1975), “The combined effect of billions of aerosol cans releasing their chemical propellant into the atmosphere is gradually eroding the ozone layer.” The media also presented industry’s perspective. For example, Aerosol Age (June 1975), quoted Allied Chemical executive S. Robert Orfeo, “The validity of the Rowland–Molina hypothesis has not been established. . . .As a matter of fact, detailed analysis of the available ozone data indicates that the ozone level in the stratosphere actually increased in the 1960s, a period of high production of chlorine and chlorine-containing products.” Chemical Week (16 April 1975) reporting on at the 1975 meeting of the American Chemical Society said: “The continuing debate over the possibility of danger that chlorinated fluorocarbons pose to the protective ozone in the stratosphere was punctuated by sharp disagreement between. . . F. S. Rowland and the technical director of DuPont’s Freon Products Division, Raymond L. McCarthy. . . .Rowland asserted the danger is so great that use of fluorocarbons should be banned in aerosol spray cans immediately. But McCarthy claimed the hazard is being overstated.” Another journalistic approach was to report the story in the context of a “complex fight. . . between environmentalists, who want the fluorocarbons banned immediately, and the aerosol industry, which believes the ozone depletion theory is mostly speculation that lacks experimental verification” (Why aerosols are under attack 1975). • Newsweek (23 June 1975) reported that, “Continued use of [CFCs] at the present rate. . . environmentalists argue, could cause a 13 per cent depletion in the ozone layer and lead to perhaps 80,000 extra cases of skin cancer each year, and possibly other effects as well.” • Business Week (17 February 1975) reported on a Harvard study that suggested that fluorocarbons could result in a 16% depletion of the ozone layer within 25 years, thus resulting in more than 100,000 additional cases of skin cancer per year. • Chemical Week (11 June 1975) reported that, “[A]nxiety about the ozone question is believed to be one factor in the recent decline in the US aerosol sales” and (15 October 1975) quoted Montfort Johnson, vice-president of Peterson/Puritan, one of the largest aerosol fillers in the USA, as saying that the main cause of the market slump in aerosols was “the adverse public relations” which aerosols were receiving. • US News & World Report (29 September 1975) reported the industry leadership: “Johnson Wax Company announced [in June 1975] that it had replaced the few aerosol products in its line that used fluorocarbons. Its spray cans now carry the

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R label: ‘Use with confidence, contains no Freon or other fluorocarbons claimed to harm the ozone layer’.” • Chemical Week (16 July 1975) also reported that Sherwin–Williams had discontinued its use of fluorocarbon propellants in its aerosol products.

Media interest in the Molina–Rowland hypothesis was most pronounced in North America, but there was also strong international concern for the ozone layer. Chemical Week (11 June 1975) reported that a study had been initiated in West Germany to evaluate the impact of fluorocarbon gases on the upper atmosphere. Chemical Week (15 October 1975) quoted Sadaji Takada of the Aerosol Industry Association of Japan as saying the controversy “caused a panic in the industry” and reported that, “Nervous European aerosol manufacturers. . . are starting to feel the heat from the fluorocarbon controversy in the US.”

Case Study 2: The Discovery of the Antarctic Ozone Hole, 1985, Spells Urgency There was almost no media reaction to the 1984 findings of significant ozone depletion over Antarctica published by Shigeru Chubachi from data of the Japanese Scientific Stations in Antarctica. One year later, there was initially little media reaction to the publication of research that confirmed the depletion by the British Antarctic Survey in Nature (Brodeur 1986). However, the story became more newsworthy when lead author Joe Farman promoted the story to the news media and policy makers and implied that he had scientifically linked ozone depletion to CFCs. The science was the foundation of the story, but the tagline was that chemical companies caused the ozone hole and something had to be done. On 30 May 1985, a story in the Guardian began: “The vital and protective layer of ozone – a reactive form of oxygen – in the Earth’s atmosphere has diminished by a third in the decade 1972/1982. Or at least that is what has happened to the ozone over the Antarctic, in the Antarctic springtime, according to measurements made by a group of three scientists from the British Antarctic Survey. . . The decline in ozone. . . matches a detectable increase in the amounts of chlorofluorocarbons, or CFCs (aerosol propellants) in the polar atmosphere in the same period, the British group claims.” The story went on to suggest that while most environmentalists had long been warning that CFCs would prove a danger to the ozone layer, “until these Antarctic results most scientists had thought measurable effects were unlikely for decades.” The story quoted one of the scientists, Jonathan Shanklin, as saying, “There’s no obvious source for the increased CFCs we’ve detected other than manmade sources.” Two months later, The Economist (13 July 1985) characterized the survey’s results as “disturbing” and went on to report, “Those who worry that pollutants could damage the ozone layer now have more cause to worry than before.”


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The findings of the British Antarctic Survey were also cited in a story in the New York Times (7 November 1985) which reported, “Satellite observations have confirmed a progressive deterioration in the earth’s protective ozone layer above Antarctica, according to scientists who analyzed data recently sent back from space.” The consequence of the findings, as interpreted by that story, was that the results, taken together, “have persuaded some researchers that the ozone loss is proceeding much faster than expected.” Moreover, there was speculation that the findings would increase pressure from environmental groups to reduce the use of or ban CFCs. In this regard, the Guardian (30 May 1985) reported that pressure from environmentalists would result even though “the world-wide impact of the ozone decline over the Antarctic is not yet clear – and may be only small.” However, the article noted that increased ultraviolet penetration had already been detected in the Antarctic, “and there may be legitimate fears for its effect, say, on phytoplankton in southern oceans, the primary food source for the abundant fish, krill, birds, seals and whales of the area.”

Case Study 3: Strengthening Ozone Layer Protection, 2007, Spells Significant Co-Benefits for Climate This case study explains how scientists in government and industry used their evolving knowledge to focus on the most policy-relevant science and present that science at the time and place it would be the most useful. It tells how in 2007 science continues to have a part in re-energizing the Montreal Protocol, most notably by the accelerated phaseout of HCFCs, and at the same time jump-starting climate protection through control measures outside Kyoto. Under the Montreal Protocol, there are three Assessment Panels: The Scientific Assessment Panel (SAP), the Environmental Effects Assessment Panel (EEAP), and the Technology and Economic Assessment Panel (TEAP). The three panels conduct a full assessment every 4 years and integrate the findings in a Synthesis Report. The SAP explains how the atmosphere is changing; the EEAP explains why that is important to human health, prosperity, and natural ecosystems; and the TEAP explains what is technically and economically feasible and what can be done to avoid and mitigate undesirable effects. Prior to 2007, technical assessments had informed the Montreal Protocol community that accelerating the phaseout of HCFCs and collecting and destroying other ODSs would further protect the ozone later, but these assessment reports had failed to emphasize the climate benefits. The Kyoto Protocol community did not appreciate that the Montreal Protocol was acting far slower than was technically feasible in its efforts to protect stratospheric ozone. More importantly, the climate community had not realized that faster action under Montreal in phasing out HCFCs that are also potent greenhouse gases (GHGs) could give Kyoto precious time to become effective. For example, the 1999 Report of the TEAP HFC and PFC Task Force highlighted the climate benefits of avoiding hydrofluorocarbons (HFCs) when phasing

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out ODSs, but failed to highlight the climate benefits of accelerating the CFC and HCFC phaseouts (Technology and Economic Assessment Panel 2007). Many CFCs and HCFCs equal or exceed the global warming potential of HFCs, some of which are more than a thousand times powerful at contributing to climate change than carbon dioxide. In that same year, the “Synthesis of the Reports of the Scientific, Environmental Effects, and Technology and Economic Assessment Panels of the Montreal Protocol,” highlighted the opportunity to avoid a 5% future cumulative ozone loss if global emissions of HCFCs were eliminated in 2004, but failed to highlight the benefits to climate from avoiding the greenhouse gas emissions of both the HCFC emissions and the unwanted HFC-23 produced and emitted from HCFC-22 production.6 The 2005 Intergovernmental Panel on Climate Change (IPCC)/TEAP report on “Safeguarding the Ozone Layer and the Global Climate System” addressed the greenhouse effects of ozone-depleting substances, but did not result in actions by the Montreal Protocol and Kyoto Protocol parties. Co-chairs and lead authors of the Montreal Protocol Scientific Assessment Panel met in June 2006 at Les Diablerets Switzerland to complete work on the report published in December. The purpose of this meeting was to integrate the information developed by separate teams of scientists serving on topical chapters and to decide the key findings taken forward to the Executive Summary to be forwarded to the Assessment Synthesis Panel for integration with the findings of EEAP and TEAP. Logically, climate change has been secondary to Ozone Science Assessment and procedurally information not published in time for chapter review is ignored in the conclusions until the next full Assessment, 4 years later. A further complication is that the Panel cannot provide policy-relevant science on diplomatic proposals not yet surfaced or on proposals made too late in the assessment process. Stephen O. Andersen, co-chair of the TEAP, reported to the SAP meeting that some Montreal Protocol diplomats and NGOs had informally organized themselves as the “Stockholm Group” to promote strengthening the Montreal Protocol to accelerate the phaseout of ozone-depleting HCFCs which were also potent greenhouse 6

The joint 2005 TEAP IPCC Special Report: “Safeguarding the Ozone Layer and Global Climate System: Issues Related to Hydrofluorocarbons and Perfluorocarbons” failed to directly highlight the co-benefits to climate and ozone benefits of an accelerated HFCC phaseout, concentrating instead on improved containment, reduced charge of substances in equipment, end-of-life recovery, low GWP substances, and not-in-kind technologies. The Summary for Policymakers neglected any accounting of the past and future carbon equivalent ODS emissions. Scientifically inclined policy makers might have extracted the message Figures TS-8 and TS-9 of the Technical Summary (p. 29) if the text had presented the magnitude of the climate benefits of HCFC abatement rather than the HFC and PFC benefits relative to CFCs and HCFCs. IPCC said: “These HFC and PFC radiative forcings correspond to about 6–10% and 2%, respectively of the total estimated radiative forcing due to CFCs and HCFCs in 2015 (estimated to be o.297 Wm-2 for the baseline scenario).” IPCC might have said: “Without further action under the Montreal Protocol, in 2015 the HCFC radiative forcing will be in twenty times the radiative forcing of HFC and fifty times the radiative forcing of PFCs.”


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gases.7 The Scientific Assessment Panel considered whether they could reorganize their findings on ozone and climate co-benefits to inform the discussions of the Montreal Protocol Parties, mindful that the TEAP was likely to find that the combined benefits to climate and ozone protection would easily justify the cost of accelerating the HCFC phaseout. When the SAP decided that their terms of reference did not allow consideration of late topics such as this, five members of the SAP—Guus Velders (Netherlands Environmental Assessment Agency), Stephen O. Andersen (US Environmental Protection Agency), John S. Daniel and David W. Fahey (Earth System Research Laboratory, National Oceanic and Atmospheric Administration), and Mack MacFarland (DuPont Fluoroproducts)—formed their own team to publish policy-relevant findings that would qualify for inclusion in the next assessment.8 As the Velders team proceeded with its work it became increasingly evident that scientists, citizens, and policy makers not deeply involved in the ozone science assessment had overlooked or not fully appreciated the importance of the Montreal Protocol in protecting climate. Because the ODS phaseout was presumed to be occurring as rapidly as technically possible in 1997 when the Kyoto Protocol was signed, action on ODSs was not considered part of any climate protection strategy. Because ODSs were explicitly excluded from the Kyoto Protocol, reductions in even uncontrolled ODS emissions did not count toward greenhouse gas targets under Kyoto and did not qualify for emissions trading.9 HCFC chemicals—particularly HCFC-22—had fallen between the cracks of the two Protocols. The Kyoto Protocol explicitly exempted substances controlled by the Montreal Protocol, partly under the assumption that nearly all of them had already been phased out. In fact, the production and consumption of HCFCs would not be phased out until 2030 in developed countries and 2040 in developing countries. More importantly, HCFC use was increasing rapidly, particularly in developing countries, and by 2015 could reach levels that would delay recovery of the ozone layer and undermine efforts to mitigate climate change. 7

Although there is emerging evidence of the first signs that the ozone layer is recovering, there are significant benefits of avoiding the health, agricultural, and ecosystem effects of ozone depletion and increased ultraviolet radiation. The 2006 Antarctic ozone hole rivaled the largest ever recorded and new data indicates that recovery of the ozone layer will be delayed for a decade or more than previously estimated (World Meteorological Organization & United Nations Environmental Programme, Scientific Assessment Panel of the Montreal Protocol, Scientific Assessment of Ozone Depletion: 2006 Executive Summary: 2006, p. 21). 8 Each member of the team had specific and complementary skills necessary to the task. In affect, the Scientific Assessment Panel chapter chairs are among the best-of-the-best in each science topic and the occasion of the meeting allowed the team to select itself from among that elite group. They called themselves the “Dream Team” because each considered it an honor to work with the others and because it would be a dream come true if the science they assembled helped policy makers choose to act wisely. 9 Under the Montreal Protocol, uncontrolled and unlimited quantities of ODS can be used and emitted in feedstock, process agent, quarantine and preshipment, and laboratory and analytical uses. In addition, limited quantities are allowed for use in applications decided as critical or essential.

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The rapid growth in HCFC use was driven in part by economic growth in developing countries, where more and more consumers were able to buy refrigerators and air conditioning equipment that used HCFCs, particularly HCFC-22, as a refrigerant. HCFC growth also was being driven by a “perverse incentive” under the Kyoto Protocol’s Clean Development Mechanism (CDM). The production of HCFC-22 results in by-product emissions of HFC-23, a powerful greenhouse gas with GWP of 11,700. Developing country producers of HCFC-22 that captured and destroyed the HFC-23 by-product emissions can be eligible for carbon credits under the CDM, which in turn can be sold to subsidize and expand HCFC-22 production. The TEAP estimated in August 2007 that profits from the sale of HFC-23 credits could be as much as ten times the cost of destruction and could eventually exceed profits from the sale of HCFC-22 itself.10 Throughout both atmospheric environmental regimes, there was only limited recognition that the problems of ozone depletion and climate change were interconnected. The IPCC-TEAP Special Report in 2005 helped clarify this relationship, stating that “[o]ptions chosen to protect the ozone layer could influence climate change. Climate change may also indirectly influence the ozone layer. Halocarbons, and in particular ODSs, have contributed to positive direct radiative forcing and associated increases in global average surface temperature” (IPCC/TEAP 2005). This helped draw attention to the negative impacts the HFC-23 destruction projects were having on both the ozone and the climate. But more importantly, it provided the basis for arguing that measures to strengthen the Montreal Protocol could produce significant benefits to the climate, as well as the ozone layer. The Montreal Protocol did not fully appreciate that production of HCFC resulted in the inadvertent emission of HFC-23 and that both HCFC-22 and HFC-23 are potent greenhouse gases. Later it was realized that payments to developing countries under the Clean Development Mechanism of the Kyoto Protocol to destroy HFC-23 had created a “perverse incentive” to manufacture HCFC-22 in order to be paid to destroy HFC-23 by-products. The CDM revenue can payback the cost of manufacturing and return an excessive profit even if the HCFCs are given away or discarded (into the atmosphere) (Wara, 2007). The Velders team published its chapter in the Proceedings of the US National Academy of Sciences (PNAS) in March 2007 showing that ODS emission reduction since 1990 under the Montreal Protocol is equivalent to about a decade of growth in radiative forcing of CO2 from human activities and that by 2010 it will have reduced 10 UNEP/TEAP, Response to Decision XVIII/12: Report of the Task Force on HCFC Issues and Emissions Reduction Benefits Arising from Earlier HCFC Phase-out and other Practical Measures (August 2007), at 6 (“Monies flowing from the sale of Certified Emission Reductions (CERs) could be up to 10 times higher than the costs of mitigation and, under expected future carbon prices, will exceed the sales revenue for the HCFC-22 itself.”). See also Michael Wara, “Is the Global Carbon Market Working?” Nature, Vol. 445, 8 February 2007, 595–596 estimates that: “HFC-23 emitters can earn twice as much from CDM credits as they can from selling the refrigerant—by any measure a major distortion of the market.”


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net GWP-weighted emissions by about 11 Gt CO2 -eq/year. This is five to six times the reduction target of the first Kyoto Protocol commitment period (2008–2012).11 Equally significant, the Velders team calculated that efforts to reduce ODS since the 1974 early warning have delayed radiative forcing between 35 and 41 years by avoiding GHG emissions that otherwise would almost have equalled today’s CO2 contribution to climate change. The context for the contribution to climate mitigation from successful efforts to address ODS is provided by James Hansen’s warning that we may have as little as 10 years before reaching the tipping point for abrupt, nonlinear, and irreversible climate change, including catastrophic sea-level rise (Fig. 1).12 Unlike the publications of the Molina–Rowland hypothesis and the discovery of the Antarctic ozone hole, the Velders findings were immediately integrated by the media and policy makers. The reason for an immediate media and policy response is that the scientists had involved public and private policy makers in the peer review and had been responsive in crafting the presentation to provide policy makers with the information justifying a decision to strengthen the Montreal Protocol. The Internet has become a powerful tool in authoring, communicating, and clarifying complex scientific information. The ability of scientist-activists to reach out swiftly and effectively to journalists and decision makers highlights the circuits of communication and trust that had been developed in the ozone layer’s nested communities of practice (Canan and Reichman 2002). Marco Gonzalez and K. Madhava Sarma, respectively current and founding executives of the Montreal Protocol Ozone Secretariat, saw the significance of the findings and began briefing senior United Nations executives and NGOs. The New York Times began setting the stage and seeking an exclusive scoop. UNEP’s Executive Director Achim Steiner decided to issue a press release lauding the results—giving the journalists confidence that their science findings had “policy punch.” Swedish and Finnish chairs of the “Stockholm Group” insisted that Velders present the results prior to publication.13 A team of environmental NGOs and a UNEP executive held up publication of a policy journal until after the Velders publication in order to be the first to cite the findings (Kaniaru et al. 2007). Soon the growing confidence, pride, 11 Assuming the Business as Usual non-ODS greenhouse gas emissions growth of 6% beyond 1990 levels; without such growth in emissions, the Montreal Protocol’s reductions would be 10–11 times more than Kyoto. 12 Dr. James Hansen, of the NASA Goddard Institute for Space Studies, argues that “[p]ositive climate feedbacks and global warming already ‘in the pipeline’ due to climate system inertia together yield the possibility of climate ‘tipping points’... such that large additional climate change and climate impacts are possible with little additional human-made forcing. Such a system demands early warnings and forces the concerned scientist to abandon the comfort of waiting for incontrovertible confirmations.” Scientific Reticence and Sea Level Rise, Environment Research Letters 2 (24 May 2007). See also Hansen (15 July 2007). 13 The Stockholm Group was chaired by Husamuddin Ahmadzai (Sweden) and Jukka Uosukainen (Finland). Velders presented the findings at Stockholm Group meeting in the Hague Netherlands February 8, 2007. The Stockholm Group was organized in Montreal 8 July 2006 and in addition to The Hague meeting, met in New Delhi 2 November 2006, in Nairobi 2 and 3 June, 2007, and in Montreal 27 July 2007.

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Fig. 1 How the Montreal Protocol protects climate



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and momentum persuaded the Netherlands Environmental Assessment Agency (where Velders is employed), the National Oceanographic and Atmospheric Administration (where Fahey and Daniel are employed), and DuPont (where MacFarland is employed) to issue their own press releases (DuPont 2007; Netherland Environmental Assessment Agency 2007; United States National Oceanographic and Atmospheric Administration 2007). A DuPont media expert guided the outreach process to the media with skills not often found in the public sector. Science was the foundation of the story, but the tagline was that citizen and government actions to save the ozone layer had already done five to six times more to protect the climate than would be accomplished in the first commitment period (2008–2012) of the Kyoto Protocol. Suddenly, Montreal Protocol diplomats realized that technical and economic actions to accelerate phaseout of HCFCs could do a world of good in protecting climate. Costs that seemed too high under the Montreal Protocol’s financial mechanism were seen by many diplomats as bargains with the prospect of joint ozone and climate funding. Island nations, feeling the immediate threat of sea level rise, saw actions under the Montreal Protocol as matters of survival and pressured for every cost-effective action. ScienceNOW reported: “. . . a 20-year-old ban on ozone depleting chemicals has been extremely effective at curbing greenhouse gases as well. In fact, it has already had more impact than a fully implemented Kyoto Protocol would have accomplished. The findings, say the authors, emphasize the importance of ridding the planet of these powerful greenhouse substances.” The Toronto Globe and Mail (picked up by 200 local papers) said: “It kind of sucks to be the Montreal Protocol. Not only do you lack the name recognition of your compatriot from Kyoto, you also go widely unrecognized for the work you’ve done to fight global warming” (Mittelstaedt 2007). A story in The Wall Street Journal that was picked up by hundreds of newspapers worldwide including USA Today and Cosmos Magazine quoted Velders as saying that the reduction ODS emissions was equivalent to about 10 years growth in carbon dioxide concentrations. UNEP Executive Director Achim Steiner’s press release said the Velders study “. . . underscores the simple fact that well-devised action to address one area of environmental concern can have multiple environmental benefits across numerous others. . . Guus Velders of the Netherlands Environmental Assessment Agency and colleagues believe the ozone layer protection treaty can contribute even more to combating climate change” (Steiner 2007). In August, Executive Director Steiner recommended that heads of state add an accelerated phase out of HCFCs to a “quick win” climate and noted that UN Secretary General Ban Ki-moon would be hosting a high-level international meeting on climate change in New York on September 24, just after the Meeting of the Parties to the Montreal Protocol (September 17–21) (Doyle 2007). The National Oceanographic and Atmospheric Administration (NOAA) featured it as the cover story on their web site, proclaiming: “This is an example of how NOAA’s science informs those who make decision that affect our daily lives. This new study also illustrates the multiplier effect of NOAA’s targeted research and its benefits on multiple sectors of science.”

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The Environmental Investigation Agency (EIA) cited the paper in their March 6 press release “. . . calling on governments to accelerate the phaseout of key gases to buy time against global warming.” “The study is a call to action. By agreeing to stop producing HCFCs, we have the potential to reduce the effects of global warming in an unprecedented way” (Environmental Investigation Agency 2007). Coincident with publication of the Velders science paper, a policy paper premised on that science was published by a team formed from the Stockholm Group lead by a former senior UNEP executive (Donald Kaniaru—Kenya), a current UNEP ozone executive (Rajendra Shende—UNEP Paris), and Durwood Zaelke and Scott Stone, attorneys from the NGO International Network for Environmental Compliance & Enforcement (INECE), an environmental NGO based in Washington DC and Geneva. In August, Donald Kaniaru edited a collection of papers featuring and updating the Velders science that was distributed by UNEP at the Montreal Protocol Meeting of the Parties (Kaniaru 2007). The Velders team prepared a supplemental article for the Kaniaru volume calculating the climate benefits of the accelerated HCFC phaseout. Kaniaru and his coauthors also included a detailed set of “frequently asked questions” on the ozone and climate benefits of the accelerated HCFC phaseout. Another team formed from the Stockholm Group prepared; peer reviewed; translated into Chinese, French, Spanish, and Arabic; and published on the Institute for Governance & Sustainable Development (IGSD) web site supplementary materials that focused on the climate science supporting the wisdom of accelerating the HCFC phaseout, including “Frequently Asked Questions” anticipating and answering policy questions of practicality, costs, and administrative simplicity (Institute for Governance and Sustainable Development 2007). Getting the story to policy makers is more than publication. In addition to the presentation to the Stockholm Group, Dr. Velders and coauthor Dr. Mack McFarland testified before the United States Congress on 23 May 2007, and Dr. Velders travelled to Egypt to explain the opportunity to regional stratospheric ozone protection authorities and the press (Velders 2007). Coauthor Dr. David Fahey presented the team’s results at an international conference of atmospheric science writers in Singapore. Members of the Velders writing team and the Stockholm Group were also invited to informally brief key policy makers, in the United States, Europe, Mexico, Central America, Latin America, Africa, and the South Pacific, and make presentations before such audiences as the American Bar Association and a key California conference on non-CO2 climate gases. Romina Picolotti, Secretary of Environment and Sustainable Development for Argentina made a speech on World Environment Day (5 June 2007) in Tromsø, Norway, further carrying the science and policy message that such action would protect both ozone and climate.14 This speech was, in turn, discussed by UNEP’s Executive Director on 7 June in his closing remarks for the Open-Ended Working Group of the Parties to the Montreal Protocol (OEWG) in Nairobi. The Center for 14

Minister Romina Picolotti’s speech is included in Kaniaru (2007), Chapter 11: Rethinking Climate Strategies, pp. 155:164.


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Mexican Environmental Law—with close ties to Dr. Mario Molina and the Molina Center for Energy and the Environment—also helped deliver the science and policy message to policy makers in that country, and the Center for Human Rights & Environment in Cordoba, Argentina, helped deliver the message throughout Latin America. United Nations Secretary General Ban Ki-moon, with the advice of the Montreal Protocol Secretariat, carried the science message forward in the UN declaration for the 2007 International Day for the Preservation of the Ozone Layer, 16 September: “Our measures against ozone depleting substances. . . has helped bolster measures to counter climate change” (Ki-moon 2007). The science was also the underpinning for a decision of the G8 Summit, a US– Japan joint statement, a US–EU joint statement, and a US–Australia joint statement: G8 Declaration: “We will also endeavour under the Montreal Protocol to ensure the recovery of the ozone layer by accelerating the phase-out of HCFCs in a way that supports energy efficiency and climate change objectives. In working together toward our shared goal of speeding ozone recovery, we recognize that the Clean Development Mechanism impacts emissions of ozone-depleting substances” (Growth and Responsibility in the World Economy 2007). US–Japan Joint Statement: “We will also endeavor under the Montreal Protocol to ensure the recovery of the ozone layer to pre-1980 levels by accelerating the phase-out of HCFCs in a way that supports energy efficiency and climate change objectives” (United States and Japan 2007). US–EU Joint Statement: “We also commit under the Montreal Protocol to seek to speed up the recovery of the ozone layer by accelerating the phase-out of HCFCs. We will weigh the impact of our proposals on climate change and energy efficiency. In working together toward our shared goal of speeding ozone recovery, we recognize that the Clean Development Mechanism impacts emissions of ozone-depleting substances” (United States and European Union 2007). US–Australia Joint Statement: “We will also endeavor under the Montreal Protocol to ensure the recovery of the ozone layer to pre-1980 levels by accelerating the phase-out of HCFCs in a way that supports energy efficiency and climate change objectives” (Howard & Bush 2007).15 These efforts culminated in an historic agreement to accelerate the phaseout of HCFCs at the 20th Anniversary Meeting of the Parties to the Montreal Protocol, held in Montreal, Canada, on 17–21 September 2007. The text of the adjustment decision explicitly recognizes the dual benefits to the ozone and the climate from a faster phase down of HCFC production and consumption and calls on the Parties to focus on replacing HCFCs with climate-friendly substitutes, taking into account global warming potential and energy efficiency. The agreement marked the 15 Joint Statement on Climate Change and Energy by the Prime Minister of Australia, the Hon John Howard MP, and the President of the United States of America, the Hon George W. Bush, 5 September 2007.

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first time that both developed and developing countries agreed to take on commitments specifically for the benefit of the climate, which if implemented properly could reduce greenhouse gas emissions by several times than the Kyoto Protocol’s required reductions. The decision by the Parties to the Montreal Protocol to accelerate the HCFC phaseout was praised by the press and policy makers. It was a topic of discussion at the 24–25 September United Nations General Assembly meetings on climate change and at the 27–28 September Large Emitters Conference in Washington DC. At the General Assembly, Ban Ki-Moon reiterated the importance of the Montreal Protocol in protecting the climate.

Industry Response to Ozone Science A dozen or more times, ozone science has drastically changed corporate policy and transformed markets. The most significant are outlined below: 1. The Molina–Rowland warning of ozone depletion from CFC emissions in 1974 prompted US companies to abandon CFC aerosol propellants and to advertise against competitors, transforming North American cosmetic markets and stimulating regulation that ultimately banned cosmetic and convenience products in Canada, Norway, Sweden, the United States, and other jurisdictions (Table 1). 2. The Japanese and British Antarctic Survey discovery of Antarctic ozone hole prompts DuPont to support global limits on CFC emissions. . . other companies quickly follow (Table 2). 3. The US EPA scientific assessment publicly discloses the names the companies with the largest emissions of CFCs, causing a paradigm shift where corporate CFC customers embrace the science, abandon support for chemical company campaigns to slow regulation, and announce phaseout plans (Table 3). 4. UNEP/WMO Assessment 1988 (Ozone Trends Panel Report) is cited as the reason that DuPont followed by Pennwalt to announce support for a rapid CFC phaseout (Table 4). 5. Velders, Andersen, Daniel, Fahey, and McFarland show that the Montreal has already, and can again, protect the climate even as it further protects the ozone layer (Table 5).

Corporate Openness to Science Findings Creativity in finding and implementing alternatives to ODSs is stifled when the leadership of an organization expresses doubt or skepticism about ozone science or makes the case that action is unnecessary. Prior to the signing of the Montreal Protocol, most companies and their industry associations contended that CFCs


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Table 1 Response to the Molina–Rowland Hypothesis Date

Science

September 1974

Molina–Rowland Hypothesis

June/July 1975

Response (Business, NGOs, Policy makers)

S.C. Johnson, Sherwin-Williams, Bristol Meyers and Mennen abandon CFC aerosol propellants HFC-134a substitute for CFC-12 developed by European, Japanese, and US chemical companies

December 1977

Table 2 Response to the discovery of Antarctic ozone hole Date

Science


July 1994

Japanese scientists quietly announce Antarctic ozone depletion British scientists announce Antarctic ozone depletion of 30–40% and loudly promote the story to news media NASA confirms Antarctic ozone hole

No response

May 1985

August 1986

September 1986

NGOs demand action Policy makers move forward on a Protocol

Seiko Epson quietly decides to halt CFC use as ethically irresponsible DuPont cites NASA confirmation of Antarctic ozone hole in their decision to support limits on global CFC emissions

were safe, that ozone depletion was unproven speculation, and that alternatives would be unavailable, hazardous, or expensive. They predicted buildings without air conditioning, food and drug spoilage without refrigeration, and all manners of unacceptable economic and health consequences if CFCs were to be significantly controlled. However, when leadership companies and government organizations announced their support for ODS phaseout, there was a paradigm shift and sea change in attitudes that quickly made everything possible. After the Montreal Protocol was signed, Nortel and Seiko Epson announced phaseout goals; a voluntary agreement removed CFCs from food packaging; AT&T and Digital Equipment announced alternatives to CFC solvents; the United States Military halted testing and training with halons; DuPont and other companies accepted and encouraged the

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Table 3 Response to emissions disclosure requirements Date

Science

September 1987

EPA reports that AT&T, General Electric, General Motors, IBM, US Air Force and United Technology are USA’s largest emitters of CFCs.

January 1988


AT&T announces a semiaqueous solvent that cleans electronics as well as CFC-113. US Air force advocates a halt to halon testing and training and enlists EPA to change military specifications that require CFC-113 solvents. General Motors, the Mobile AC Society and EPA form partnership to commercialize CFC recycling.

Table 4 Response to the 1988 UNEP/WMO assessment Date

Science

March 1988

Third Scientific Assessment of the State of the Ozone

March 1988

October 1988


Ten days after publication, DuPont cites the Ozone Scientific Assessment in their decision to commit to an orderly phaseout of fully halogenated CFCs. Pennwalt promptly urges CFC production be “discontinued as soon as practical.” ICI urges strengthening the Protocol, saying it aims to be the first company to make alternatives to CFCs.


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Table 5 Response to Velders et al. findings Date

Science

March 2007

Velders et al present findings that Nine Parties to the Montreal Protocol (mostly controls under the Montreal represented on the Stockholm Group) Protocol have done more to protect submit six proposals to accelerate the the climate than Kyoto will do in its HCFC phaseout; most proposals justify first control period and that action for both climate and ozone benefits accelerating the HCFC phaseout and several explicitly exempt HCFC and collection and destruction of applications demonstrating near-zero ODSs can delay climate change by emissions and environmentally superior several years. climate performance. Trane company intensifies its support for an accelerated HCFC phaseout and proposes an “ozone neutral” trading market that would collect and destroy two times the ODP-weighted ODS for every quantity of ODS used in environmentally superior applications such as feedstocks, process agents, essential, critical, and building chiller uses. US Department of Defense, Alliance for Responsible Atmospheric Policy, and many companies worldwide support accelerated HCFC phaseout in national stakeholder and other meetings. US–Japan climate summit endorses accelerated phaseout for climate benefits; US–EC climate summit endorses; G8 leaders endorse.a Bill introduced by US Congressman Henry Waxman to restrict import of products made with or containing HCFCs and to create incentives for environmentally superior alternatives; Alliance for Responsible Atmospheric Policy (producers and users of ODSs and HFCs), State of Utah, and the Natural Resources Defense Council (NRDC) provide letters of support.

April 2007

March–September


a See US–Japan Joint Statement on Energy Security, Clean Development, and Climate Change, 27 April 2007. (“We will also endeavor under the Montreal Protocol to ensure the recovery of the ozone layer to pre-1980 levels by accelerating the phase-out of HCFCs in a way that supports energy efficiency and climate change objectives.”); and US–EU Summit Statement on Energy Security, Efficiency, and Climate Change, 30 April 2007 (“We also commit under the Montreal Protocol to seek to speed up the recovery of the ozone layer by accelerating the phase-out of HCFCs. We will weigh the impact of our proposals on climate change and energy efficiency. In working together toward our shared goal of speeding ozone recovery, we recognize that the Clean Development Mechanism impacts emissions of ozone-depleting substances.”). See also G8 Summit in Heiligendamm, Germany, Growth, and Responsibility in the World Economy, Summit Declaration (7 June 2007), at paragraph 59 (“We will also endeavour under the Montreal Protocol to ensure the recovery of the ozone layer by accelerating the phase-out of HCFCs in a way that supports energy efficiency and climate change objectives. In working together toward our shared goal of speeding ozone recovery, we recognize that the Clean Development Mechanism impacts emissions of ozone-depleting substances.”).

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phaseout; and so and on (Andersen 1997; Andersen 1998; Andersen & Sarma 2002; Andersen et al. 1997, 2007; Canan & Reichman 2002; Cook 1996; DeCanio 1991, 1994; Re Presetre et al. 1998; Miller & Mintzer 1986; Parson 2003). The accelerated phaseout of HCFCs approved the Meeting of the Parties to the Montreal Protocol in September 2007 will stimulate industry and government leadership to rapidly develop and implement alternatives and transfer technology. Chemical companies can successfully market natural refrigerants and low-GWP HFC refrigerant blends to manufacturing companies seeking to demonstrate environmental responsibility and capture market share with “green products.” The rapid phaseout creates economies of scale that reduce the cost of technical alternatives, servicing, and other infrastructure. The approved HCFC phaseout will attract venture capital and create corporate strategy to be first with a phaseout solution, first with superior energy efficiency, or first with global citizenship. The race for phaseout may encourage national governments to apply highly effective market incentives, such as taxes and product labeling, which proved so effective in the CFC and halon phaseouts.

Conclusions and Way Forward This chapter demonstrates that protection of the ozone layer is grounded in science and continuously influenced by science findings. It shows that successful integration of science into policy usually requires aggressive action by the scientists themselves, nongovernmental organizations (NGOs), and/or policy makers. Three case studies show similarities and differences in how science influenced stratospheric ozone protection policy historically and recently to strengthen the Montreal Protocol with an accelerated HCFC phaseout. It is clear that the networks of experts created and maintained by the Assessment Panels remain central to the discovery, integration, synthesis, and communication of new science. The take home message might be that we should redouble our efforts to support the best possible scientists, working with necessary resources, in cooperation worldwide and unencumbered, in communicating warnings and direction to citizens and policy makers.

References Andersen, S. O. (1988). Industrial responses to stratospheric ozone depletion and lessons for global climate change, Volume 4: Responding to global environmental change. In T. Mostafa (Ed.), Encyclopedia of global environmental change. New York: Wiley. Andersen, S. O. (1997) . Newest champions of the world: Winners of the 1997 stratospheric ozone protection awards. Washington, DC: United States Environmental Protection Agency. Andersen, S. O., Frech, C., & Morehouse, E. T. (1997). Champions of the world: Stratospheric ozone protection awards. Washington, DC: US Environmental Protection Agency.


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Andersen, S. O., & Sarma, K. M (2002). Protecting the ozone layer: The United Nations history. London: Earthscan. Andersen, S. O., Sarma, K. M., & Taddonio, K. N. (2007). Technology transfer for the ozone layer: Lessons for climate change. London: Earthscan. Brodeur, P. (1986, June 9). Annals of chemistry: In the face of doubt. New Yorker, pp. 70–84. Canan, P., & Reichman, N. (2002). Ozone connections: Expert networks in global environmental governance. Sheffield: Greenleaf Publishing. Cook, E. (1996). Ozone protection in the United States: Elements of success. Washington, DC: World Resources Institute. DeCanio, S. J. (1991). Managing the transition: Lessons from experience. Chapter 2 In Report of the Economic Options Committee. Nairobi: United Nations Environment Programme. DeCanio, S. J. (1994). The Dynamics of the phaseout process under the Montreal Protocol. Chapter 1 In Report of the Economic Options Committee. Nairobi: United Nations Environment Programme. Doyle, A. (2007, August 3). Global warming fight may get boost from ozone plan. Oslo: Reuters. DuPont. (2007, March 5). DuPont scientist among authors for article on climate success of Montreal Protocol (Press release). Retrieved 2 November 2007 from: http: //vocuspr.vocus.com/VocusPR30/Newsroom/Query.aspx?SiteName=DupontNew&Entity= PRAsset&SF PRAsset PRAssetID EQ=105236&XSL=PressRelease&Cache=False Environmental Investigation Agency (2007, March 6). Governments urged to use ozone treaty to buy time against global warming. (Press release). Retrieved 2 November 2007 from: http://www.eia-global.org/Governments Urged to Use Ozone Treaty to Buy Time Against Global Warming 6 March 2007.pdf Growth and Responsibility in the World Economy (2007, June 7). Declaration of the G8 Summit in Heiligendamm, Germany. Paragraph 59. Hansen, J. E. (2007, May 24). Scientific reticence and sea level rise. Environmental Research Letters, 2, 024002, 6 pp. Hansen, J. (2007, July 25). Huge sea level rises are coming – unless we act now. New Scientist, 2615, pp. 30–34. Howard, J., & Bush, G. (2007, September 5). Joint Statement on Climate Change and Energy by the Prime Minister of Australia, the Hon John Howard MP, and the President of the United States of America, the Hon George W. Bush. Implications to the Montreal Protocol of the Inclusion of HFCs and PFCs in the Kyoto Protocol (1999, October). Report of the Technology and Economic Assessment Panel HFC and PFC Task Force. Nairobi: United Nations Environment Programme. Institute for Governance and Sustainable Development. http://www.igsd.org/ IPCC/TEAP (2005). Intergovernmental Panel on Climate Change & Technology and Economic Assessment Panel of the Montreal Protocol on Substances that Deplete the Ozone Layer special report on safeguarding the ozone layer and the global climate system: Issues related to hydrofluorocarbons and perfluorocarbons. Prepared by Working Group I and III of the Intergovernmental Panel on Climate Change, and the Technology and Economic Assessment Panel [B. Metz, L. Kuijpers, S. Solomon, S. O. Andersen, O. Davidson, J. Pons, D. de Jager, T. Kestin, M. Manning, and L. A. Meyer (Eds.)]. Cambridge/New York: Cambridge University Press. Johnston, H. S. (1971). Reduction of stratospheric ozone by nitrogen oxide catalysts from supersonic transport exhaust. Science, 173, 517–522. Kaniaru, D. (Ed.). (2007). The Montreal Protocol: Celebrating ozone and climate protection. London: Cameron May. Kaniaru, D., Shende, R., Stone, S., & Zaelke, D. (2007). Strengthening the Montreal Protocol: Insurance against abrupt climate change. Sustainable Development Law & Policy, 7(2), 3–10. Ki-moon, B. (2007, September 16). Message from U.N. Secretary General Ban Ki-moon On The International Day For The Preservation Of The Ozone Layer. New York. Retrieved 2 November 2007 from: http://ozone.unep.org/Events/ozone day 2007/Ozone%20Day%20Msg.pdf Le Prestre, P. G., Reid, J. D., & Morehouse, E. T. (1998). Protecting the ozone layer: lessons, models and prospects. Boston: Kluwer.

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Miller, A., & Mintzer, I. (1986). The sky is the limit: Strategies for protecting the ozone layer. Washington, DC: World Resources Institute. Mittelstaedt, M. (2007, 6 March). Montreal Protocol slowing warming. The Globe and Mail. Netherlands Environmental Assessment Agency. (2007, March 20). The Importance of the Montreal Protocol in Protecting Climate. Retrieved 2 November 2007 from: http://www.mnp.nl/en/ publications/2007/The importance of the Montreal Protocol in protecting climate.html Parson, E. A. (2003). Protecting the ozone layer: Science and strategy. New York: Oxford University Press. Rowland, F. S., & Molina, M. J. (2000). “CFC-Ozone Puzzle,” Series: The John H. Chafee Memorial Lecture on Science and the Environment, 1st National Conference on Science, Policy and the Environment, National Academy of Sciences, Washington, DC. Retrieved 1 November 2007 from: http://www.eoearth.org/article/CFC-Ozone Puzzle: Lecture. Smith, D. & Canan, P. (2002). Media coverage of the ozone-layer issue. Chapter 8 In Andersen & Sarma Protecting the ozone layer: The United Nations history. London: Earthscan. Steiner, A. (2007, March 5). Statement by Achim Steiner, United Nations Under-Secretary General and United Nations Environment Programme Executive Director, on the Publication of the Scientific Paper The Importance of the Montreal Protocol in Protecting Climate Change. Retrieved 2 November 2007 from: http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=502&ArticleID= 5532&l=en Technology and Economic Assessment Panel of the Montreal Protocol on Substances that Deplete the Ozone Layer (2007, August). Response to Decision XVIII/12: Report of the Task Force on HCFC Issues and Emissions Reduction Benefits Arising from Earlier HCFC Phase-out and other Practical Measures. Nairobi: United Nations Environment Programme. Ungar, S. (2000). Why climate change is not in the air: Popular culture and the whirlwind effect. In Climate Change Communication Conference Proceedings. University of Waterloo and Environment Canada, A2, p. 10. United States–European Union Summit Statement on Energy Security, Efficiency, and Climate Change. (2007, April 30). United States–Japan Joint Statement on Energy Security, Clean Development, and Climate Change (2007, April 27). United States National Oceanic and Atmospheric Administration (2007, March 9). Protecting Earth’s ozone layer also helped slow climate change. Retrieved 2 November 2007 from: http://www.noaanews.noaa.gov/stories2007/s2814.htm Velders, G. (2007, May 23). Statement of Dr. Guus Velders (The Netherlands) on “Dual benefits of the Montreal Protocol: protecting Ozone layer and Climate” at the Hearing on “Achievements and Opportunities for Climate Protection under the Montreal Protocol”, United States House Committee on Oversight and Government Reform. Retrieved 2 November 2007 from: http://oversight.house.gov/documents/20070523104330.pdf Wara, M. (2007, February 8). Is the global carbon market working? Nature, 445, 595–96. World Meteorological Organization & United Nations Environmental Programme (WMO/UNEP) (2006). Scientific assessment of ozone depletion. Report of the Scientific Assessment Panel of the Montreal Protocol. Nairobi: United Nations Environment Programme p. 21.

The Importance of Chemical Substitutes to Chlorofluorocarbons (CFCs) Masaaki Yamabe

Abstract The first cholroflurocarbon (CFC), CFC-12 (dichlorodifluoromethane, CCl2 F2 ), was invented by Thomas Midgley, Jr. and Alfred Henne in 1928 by the fluorination reaction of carbon tetrachloride with antimony trifluoride, and immediately after it was identified as a best refrigerant in performance, CFC-12 was commercialized in 1930 in Du Pont Company as a nonflammable and nontoxic refrigerant to replace toxic refrigerants such as ammonia and sulfur dioxide in electric refrigerators (Giunta 2006). After the invention of CFC-12, other industrially important CFCs, CFC-11 (trichlorofluoromethane, CCl3 F), and CFC-113 (trichlorotrifluoroethane, CCl2 CClF2 ) were successively introduced into the market during 1930s–1940s. Keywords Alternative CFCs · CFC · global productions of CFCs · manufacturing process of CFCs · ozone

Historical Background of CFCs Manufacturing Process of CFCs The manufacturing process of CFCs is shown in the following scheme. CCl3 F (CFC-l1) CCl2 F2 (CFC-l2) HF

CCl4 −−−−→ CClF3 (CFC-l3) Catalyst

CF4 (PFC-l4) M. Yamabe National Institute of Advanced Industrial Science and Technology (AIST), Umezono 1-1-1, AIST Central 2, Tsukuba City, Ibaraki 305-8568, Japan e-mail: [email protected]


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M. Yamabe

The major CFCs, CFC-11 and CFC-12, are manufactured by a catalytic fluorination of carbon tetrachloride. Further fluorination reaction leads to more fluorinated methanes like CFC-13 and PFC-14 (PFC: perfluorinated carbon) which can also be used in industries. Thus this manufacturing process provides a very effective and economical method for the production of CFCs. CCl2 =CCl2

HF/Cl2

−−−−→ Catalyst

CCl2 FCClF2 (CFC-113)

Similarly CFC-113, another important CFC, is manufactured by the chlorination reaction followed by fluorination of perchloroethylene with the same catalytic system. The fluorination reaction is conducted by either a liquid phase or a vapor phase. Originally a liquid phase procedure has been applied in the presence of antimony chlorofluoride under a temperature range of 80–150◦C but later a vapor phase procedure has been conveniently introduced in the presence of chromium oxide or ferric chloride under a temperature range of 250–400◦C.

Global Productions of CFCs Figure 1 shows the worldwide productions of CFCs in the pre-Montreal Protocol period (Tressaud, 2006). Since CFC-11, 12, and 113 were introduced in the market during 1930s–1940s, the global productions of CFCs was rapidly increased and reached over 1 million metric tonnes in the late 1980s before the Montreal protocol. Table 1 summarizes the major industrial applications of CFC compounds.

X103 Tonnes 500 CFC-12

400 300 CFC-11

200 CFC-113

100 0 1970

1975

1980

1985

Fig. 1 Worldwide production of chloroflurocarbons (CFCs)

1990

YEAR

The Importance of Chemical Substitutes to Chlorofluorocarbons (CFCs)

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Table 1 Major industrial applications of chloroflurocarbon (CFC) compounds CFCs

Applications

Characteristics

CFC-11

Blowing agent Foams (cushions and thermal insulations, etc.)

CFC-12

Refrigerant Air-conditioning (Home and mobile) Refrigeration (Home and commercial)

CFC-113

Cleaning solvent Precision, metal and electronics, etc.

• • • • • • • • • • • • • • • • •

Nonflammable Nontoxic Noncorrosive Thermally and chemically stable Lower thermal conductivity Nonflammable Nontoxic Noncorrosive Thermally and chemically stable Appropriate boiling point Higher critical temperature Nonflammable Nontoxic Noncorrosive Thermally and chemically stable Appropriate Kauri Butanol Value Very low surface tension

CFC-11 is used as a blowing agent for plastics characterized by the lower thermal conductivity of the resultant foams, which have been mainly applied to furniture like cushions, and thermal insulation board for refrigerators and for building walls. CFC-12 is used as a refrigerant for air-conditioning and refrigeration characterized by an appropriate boiling point and a higher critical temperature. CFC-113 is an excellent solvent for precision, metal and electronics cleaning with an appropriate Kauri Butanol value (a measure of solubility) and a very low surface tension. As a result, CFCs have been pervasive in modern life first in developed countries and then in developing countries. Figure 2 shows how the global production of ozonedepleting substances (ODSs) including CFCs have been drastically decreased down to 5% of the level year 1986 in the post-Montreal Protocol period (United Nations Ozone Secretariat 1987–2007). The phaseout of more than 95% of the ODSs in developed countries was triggered by the great contribution on the ozone depletion research of the three outstanding Nobel laureates in chemistry in 1995 followed by the tremendous efforts of the relating industries. The Montreal Protocol is really working, while some 100,000 metric tonnes of ODSs have remained to be phased out according to the Montreal Protocol in developing countries.

Challenges in Developing Alternative CFCs As seen in Fig. 3 (McFarland 2003), 80% of CFCs had been replaced by the socalled not-in-kind technologies based upon conservations or non-fluorocarbon technologies like hydrocarbons and aqueous systems in developed countries. And the

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X103 Tonnes

100%

1,800

Developing Countries Developed Countries

1,600

80% 1,400 1,200

60%

1,000 800

40%

600 20%

400 200

4.9% 0%

0 1986

1988

1990

1992

1994

1966

1998

2000

2002

2004 YEAR

Fig. 2 Worldwide production of ozone-depleting substances (ODSs)

HFCs 8%

In kind : fluorocarbon Technologies (HCFCs & HFCs)

HCFCs 12%

Not in kind : Conservation and non-fluorocarbon technologies

not in kind 80%

Fig. 3 Replacement of chloroflurocarbons (CFCs) by alternative technologies

rest 20% of CFCs had been replaced by in-kind chemicals with 12% of hydrochloroflurocarbons (HCFCs) and 8% of hydroflurocarbons (HFCs).

Basic Design for Alternative CFCs The basic principle for developing alternative CFCs is to introduce hydrogen atoms in any fluorinated molecule in order to make its atmospheric lifetime short enough to be decomposed rapidly in the troposphere by reacting with hydroxyl radicals. Thus,


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Table 2 Key processes to manufacture alternative chloroflurocarbons (CFCs) CFCs

CFC alternatives

Catalysts for Fluorination Fluorination (liquid/vapor phase) Reaction Fluorination (liquid/vapor phase) Chlorination Isomerization Hydrogenation Olefin addition Purification Isomer separation Olefin removal

HCFCs, HFCs, and even HFEs (hydrofluoroethers) are listed as target molecules. However, careful consideration will be necessary on control of a boiling point, degradability, flammability, and toxicity when hydrogen atoms are introduced into a molecule. For example, the lowering of a boiling point should be compensated by increasing a number of carbon atoms, in case of methane to ethane and in case of ethane to propane, butane or pentane, etc. Furthermore, the introduction of hydrogen atoms into a molecule will enhance its degradability and also its flammability. As for the toxicity of a molecule, it is difficult to predict the relationship between toxicity and the introduction of hydrogen atoms in a molecule. Therefore, a prudent check of toxicity is required for the resultant HCFCs, HFCs, and HFEs. Another important factor to be considered is to select any proper key processes to manufacture alternative CFCs. The key processes are shown in Table 2. In addition to fluorination which is essential to the synthesis of CFCs, chlorination, isomerization, hydrogenation, or olefin addition will be of necessary unit process, and as the number of carbon atoms in a molecule increases, purification process like isomer separation or olefin removal must be taken into consideration.

Line-Up of Alternative CFCs Under those circumstances, a wide variety of in-kind alternative CFCs has been developed. Table 3 summarizes alternative CFCs already developed. The line-up of alternative CFCs flows mainly in the order from HCFCs and HFCs to HFCs with lower GWP (global warming potential) and HFEs in order to meet requirements for not only ozone-friendly performance, but also reduction of global warming. In the first generation, CFCs have been replaced mostly by HCFCs and some HFCs and in the second generation, major alternatives have been occupied by various kinds of HFCs including blends and some HFEs. In the near future called as the third generation, more HFEs, as well as HFCs with lower global warming

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Table 3 Alternative CFCs already developed Generation

First (past/present)

Applications

Third (future)

HCFCs, HFCs, and HFEs, etc.

Refrigerant CFC-12

HCFC-22 HCFC-123 HFC-134a

Blowing agent CFC-11

HCFC-141b HCFC-142b HFC-134a HCFC-141b HCFC-225 HFC-43–10mee

Cleaning solvent CFC-113

Second (present)

HFC-152a R-407A (HFC-32/125/134a Blend) R-410A (HFC-32/125 Blend) HFC-245fa HFC-365mfc HFE-449sc HFE-569sfc HFC-c-447ef

HFE-245mc HFE-143 m Lower GWP HFC (Blends) HFE-245mf HFE-254pc HFE-347pcf

(HFC-c-447ef: c-C5 F7 H3 , HFE-143m: CF3 OCH3 , HFE-245mc: CF3 CF2 OCH3 , HFE-245mf: CF3 CH2 OCHF2 , HFE-254pc: CHF2 CF2 OCH3 )

potential (GWP) will be introduced in the market as appropriate alternatives of the existing HFCs. A hydrofluoroolefin with a chemical structure of CH2 =CF-CF3 (HFC-1234yf) has been developed as an example of HFC with lower GWP down to 4 (Nielsen et al. 2007). On developing in-kind alternative CFCs, two ways of approaches have been conducted in industry. One is to develop HCFCs, HFCs, and HFEs by using a combination of available resources and reactions specific to each manufacturer. In this approach, the resultant alternatives do not necessarily exhibit the same performance of corresponding CFCs and are often required for modifying the performance by blending with other appropriate chemicals or introducing some new ingredients to meet the industrial requirement. The examples in this category are listed below. HCFC-22: HCFC-123: HCFC-141b: HCFC-142b: HFC-32: HFC-125: HFC-134a: HFC-152a: HFC-245fa: HFC-365mfc: HFC-43-10mee:

CHCl3 + 2HF −→ CHClF2 + 2HCl CCl2 =CCl2 + 3HF −→ CF3 CHCl2 + 2HCl CH3 CCl3 + HF −→ CH3 CCl2 F + HCl CH3 CCl3 + HF −→ CH3 CClF2 + 2HCl CH2 Cl2 + 2HF −→ CH2 F2 + 2HCl CCl2 =CCl2 + 4HF −→ CF3 CHClF + 3HCl CF3 CHClF + HF −→ CF3 CHF2 + HCl CCl2 =CHCl + 3HF −→ CF3 CH2 Cl + 2HCl CF3 CH2 Cl + HF −→ CF3 CH2 F + HCl CH2 =CHCl + 2HF −→ CH3 CHF2 + HCl CH2 =CHCl + CCl4 −→ CCl3 CH2 CHCl2 CCl3 CH2 CHCl2 + 5HFCF3 −→ CH2 CHF2 + 5HCl CH2 =CClCH3 + CCl4 −→ CCl3 CH2 CCl2 CH3 CCl3 CH2 CCl2 CH3 + 5HF −→ CF3 CH2 CF2 CH3 + 5HCl CF2 =CF2 + CF3 CF=CF2 −→ CF3 CF=CFCF2 CF3 CF3 CF=CFCF2 CF3 + H2 −→ CF3 HFCHFCF2 CF3


HFE-449sc:

C3 H7 COOH

Electrochemical

−−−−−−−−→

Fluorination KF, (CH3 )2 SO4

C3 F7 COF

−−−−−−−−−→

HFE-569sfc:

C3 F7 COF

−−−−−−−−−→

HFE-347pcf:

CF2 =CF2 + CF3 CH2 OH

diglyme KF, (C2 H5 )2 SO4 diglyme

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C3 F7 COF C4 F9 OCH3 C4 F9 OCH2 CH3 NaOH

−−−−→ CH3 CN

CF3 CH2 OCF2 CHF2

The other is to develop alternative CFCs by a molecular design with the aid of computational chemistry before their synthetic process is considered. The typical example of this approach is the development of HCFC-225s as shown below.

HCFC-225s Designed as Alternative CFC-113 In 1987 when the Montreal Protocol was signed, HCFC-141b and HCFC-142b as the alternative of CFC-11 and HFC-134a as the alternative of CFC-12 were already nominated in industry and extensive efforts had been done in confirming their performance, developing their application technology, and completing their industrial manufacturing processes. However, no alternative candidate was announced for CFC-113, an excellent solvent in electronics, precision, and metal cleaning. In 1989, the development of HCFC-225s was first announced by Asahi Glass Co., Ltd., as new candidate chemicals for drop-in replacement of CFC-113. The development of HCFC-225s was based upon a molecular design by using computational chemistry and structure–property relationship analysis. The performance of CFC-113 as a cleaning solvent is characterized by the following six properties: appropriate boiling point, appropriate dissolving ability, low surface tension, nonflammability, non or acceptable toxicity, and azeotropic composition with alcohol (see Table 4). The dissolving ability and the low surface tension are strongly dependent on the presence of chlorine atom(s) and fluorine atoms, respectively. Furthermore, an increase of two carbon atoms in CFC-113 to three carbon atoms in a target molecule is inevitable to keep the desired range of its boiling point. Another important requirement is to control such environmental impact as ozone-depleting potential (ODP) and GWP in an acceptable range like very low or zero ODP and very low GWP by introducing hydrogen atom(s) in a molecule. These considerations leads to a desirable molecular structure of C3 Hx Cly Fz . The matrix in Table 3 shows that there are 365 chemical structures for C3 Hx Cly Fz (including isomers and diastereomers). Further computational simulation and preliminary evaluations indicated that HCFC-225, 235, 243, 244, and 262 could meet required performances, but HCFC-225 were finally selected based on technical and economical feasibilities. The industrial process for the production of HCFC-225 is a simple one-step addition reaction of dichlorofluoromethane (HCFC-21) to terafluoroethylene in the presence of a specific catalyst (Ohnishi et al. 1992).

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Table 4 How to select the target compound Total isomers of C3 Hx Cly Fz : 365 (including diastereomers) A number in the box shows the number of isomers of the compound in the box F

0

1

2

0

C3 Cl8 1 C3 HCl7 2 C3 H2 Cl6 4 C3 H3 Cl5 5 C3 H4 Cl4 6 C3 H5 Cl3 5 C3 H6 Cl2 4 C3 H7 Cl 2

C3 Cl7 F 2 C3 HCl6 F 5 C3 H2 Cl5 F 10 C3 H3 Cl4 F 13 C3 H4 Cl3 F 13 C3 H5 Cl2 F 10 C3 H6 ClF 5 C3 H7 F 2

C3 Cl6 F2 4 C3 HCl5 F2 10 C3 H2 Cl4 F2 20 C3 H3 Cl3 F2 22 C3 H4 Cl2 F 20 C3 H5 ClF2 10 C3 H6 F2 4

1 2 3 4 5 6 7

3

4

C3 Cl5 F3 C3 Cl4 F4 5 6 C3 HCl4 F3 C3 HCl3 F4 13 13 C3 H2 Cl3 F3 C3 H2 Cl2 F4 22 20 C3 H3 Cl2 F3 C3 H3 ClF4 22 13 C3 H4 ClF3 C3 H4 F4 13 6 C3 H5 F3 5

5

6

7

8

C3 Cl3 F5 C3 Cl2 F6 C3 ClF7 C3 F8 5 4 2 1 C3 HCl2 F5 C3 HClF6 C3HF7 10 5 2 C3 H2 ClF5 C3 H2 F6 10 4 C3 H3 F5 5

H Selected candidates: HCFC-225 (C3 HCl2 F5 ), HCFC-235 (C3 H2 ClF5 ), HCFC-243 (C3 H3 Cl2 F3 ), HCFC-244 (C3 H3 ClF4 ) and HCFC-262 (C3 H5 ClF2 )

Table 5 Profiles of HCFC-225s as alternative CFC-113 (AEL: Adverse effect level) Properties (◦ C)

Boiling point Density (g/cc at 25◦ C) Surface tension (dyne/cm) Heat of vaporization (kJ/kg) Kauri-Butanol value (–) Azeotrope with ethanol (wt ratio) Flash point (◦ C) ODP (CFC-11=1) GWP (ITH 100 years, CO2 =1) Atmospheric lifetime (years) AEL (recommended ppm)

HCFC-225ca

HCFC-225cb

CFC-113

51.1 1.55 15.5 147

56.1 1.56 16.6 145

47.6 1.57 17.2 153 31 96.2/3.8 None 0.8 4,200 79 –

31 (as a mixture) 95.5/4.5 (as a mixture) None None 0.025 0.033 170 690 2.7 7.9 50 400

CF2 =CF2 + CHCl2 F −→ CF3 CF2 CHCl2 + CF2 ClCF2 CHClF HCFC-225ca HCFC-225cb Almost equal amounts of two isomers, HCFC-225ca and HCFC-225cb are produced in the addition reaction. As seen in Table 5, these two isomers exhibit very similar properties (The United Nations Ozone Secretariat 2007) and therefore the mixture as produced is conveniently used for general cleaning applications and HCFC-225s duplicates the


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excellent properties of CFC-113 so that HCFC-225 can be conveniently applied as a drop-in replacement of CFC-113 without any modification of cleaning facilities.

Future Perspectives on Alternative CFCs The accelerated phaseout of HCFCs was decided in the 19th Meeting of the Parties to the Montreal Protocol in Montreal in September, 2007. As shown in Table 3, HCFCs have been replaced by HFCs and then will be possibly replaced further by lower GWP HFCs or HFEs in case of in-kind substitution. A variety of HFEs have been already developed but their economically feasible pathways are not yet realized for their industrial production with available starting materials and new effective catalysts. In parallel with the development of alternative CFCs, intensive studies are expected for new comprehensive assessment systems on the global environment not only in the short term but also in the medium and long terms in order to select most desirable alternatives. A new concept on the evaluation of time variation global warming effects has been reported by A. Sekiya (Sekiya 2007).

References Giunta, C. J. (2006). Thomas Midgley, Jr., and the invention of Chlorofluorocarbon refrigerants: It ain’t necessarily so. Bulletin for the History of Chemistry, 31, 66–74. McFarland, M. (2003, September). Climate change, the roles of HFCs and responsible use principles for HFCs (Paper presented at the International Workshop for Reduction of HFC, PFC and SF6 Uses and emissions, Tokyo). Nielsen, O. J. et al. (2007). Atmospheric Chemistry of CF3CF=CH2. Chemical Physics Letters, 439, 18–22. Ohnishi, K. et al. (1992). Process for preparation of dichloropentaflouropropanes by addition reaction of dichlorofluoromethane to tetrafluoroethene in presence of Lewis acid catalysts. US Patent 5,227547, 20 July 1992. Sekiya, A. (2007). The evaluation of time variation global warming effects, TWPA and CWP, for CFC alternatives. Journal of Fluorine Chemistry, 128, 1137–1142. Tressaud, A. (Ed.) (2006). Advances in Fluorine Science 1: Fluorine and the Environment. (p. 35). Amsterdam: Elsevier. United Nations Ozone Secretariat (1987–2007). Achievements in Stratospheric Ozone Protection, Progress Report 1987–2007 (pp. 12). Nairobi: The United Nations Ozone Secretariat. United Nations Ozone Secretariat (2007). Technology and economic Assessment Panel: Response to Decision XVIII/12, Report of the Task Force on HCFC Issues (pp. 124–125). Nairobi: the United Nations Ozone Secretariat.

Perspectives on the Roles of Science, Scientific Assessments, the Science/Policy Interface and Industry Mack McFarland

The Montreal Protocol is widely recognized as a model for multilateral environmental agreements because of the rapid progress made under that agreement to protect stratospheric ozone. This success is largely due to sound scientific information effectively communicated to decision makers in the government and industry. Following the publication of the ozone depletion theory in 1974 by Drs. Molina and Rowland, hundreds of scientists dedicated themselves to improve the understanding of the processes that control stratospheric ozone. The work of these scientists led to continuous advances in our understanding of the potential impact that chlorofluorocarbons (CFCs) and other ozone-depleting substances (ODSs) could have on ozone. The primary vehicle for communication of information on stratospheric ozone was a series of scientific assessments. In 1985 the first truly international scientific assessment on a global environmental issue was published: Atmospheric Ozone 1985: Assessment of our Understanding of the Process Controlling its Present Distribution and Change. The information in that assessment combined with increasing global consumption of CFCs led DuPont and US industry in 1986 to call for a global agreement to limit production and consumption of CFCs and in 1987 it led to Montreal Protocol, initially requiring only a 50% reduction in the consumption of CFCs. Based on the information in the 1988 International Ozone Trends Panel Report, DuPont in March 1988 voluntarily and unilaterally committed to a phaseout of CFCs. Following a 1989 scientific assessment the Parties to the Montreal Protocol agreed in 1990 to a total phaseout of CFCs. Subsequent assessments from 1991 through 2006 have led to amendments and adjustments to the Protocol that added ODSs and accelerated phaseout schedules. A less recognized achievement of the Montreal Protocol was its significant reduction in contributions to global climate change. CFCs and other ODSs are also greenhouse gases with significant global warming potentials. Thus, the phaseout of ODSs has reduced emissions of greenhouse gases. Compared to scenarios of continued growth in ODS consumption, assuming the Montreal Protocol never happened, M. McFarland DuPont Fluoroproducts, Wilmington, Delaware, USA e-mail: [email protected]


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the reduction in consumption of ODSs caused by the Protocol will have reduced contributions to climate change in 2010 by five to six times as much as the Kyoto Protocol if it were fully implemented (Velders et al. 2007).

References Velders Guus J. M., Stephen O. Andersen, John S. Daniel, David W. Fahey, & Mack McFarland. The importance of the Montreal Protocol in protecting climate. Proceedings of the National Academy of Sciences, published online March 8, 2007.

The Role of Financial Assistance by the Multilateral Fund in Technology Change to Protect the Ozone Layer K. Madhava Sarma and Kristen N. Taddonio

Abstract Development, commercialization, and transfer of cleaner technologies are critical to the success of multilateral environmental agreements. The Montreal Protocol aims to phase out 96 ozone-depleting substances (ODSs), used in thousands of products in 240 sectors, through transition to ozone-safe technologies throughout the world in a specified time frame. Governments’ recognition that countries had “common but differential responsibility” for the problem of ozone depletion as well as for its solution resulted in three important features of the Protocol: a grace period for developing countries (Article 5); transfer of technology to other countries to help phase out ODSs (Article 10A); and a financial mechanism—the Multilateral Fund—to help developing countries’ transition from ozone-depleting to ozone-friendly technology (Article 10). The Global Environment Facility (GEF) helped Countries with Economies in Transition (CEIT), which did not qualify for aid from the Multilateral Fund. The financial mechanism has done more than simply provide funds: It has removed barriers to technology change, enabled action on phase out much earlier than required under the Protocol, spurred industry to develop alternatives and make the switch, raised awareness about ozone depletion, pushed countries to develop national goals and phaseout plans, and helped countries establish regulations and policies to promote technology change. As a result, technology change occurred faster and cheaper than predicted, with even the poorest countries confidently and cost-effectively phasing out ODSs. The success of the Montreal Protocol and the financial mechanism in time-bound technology transfer and change offers lessons to the global challenge of climate change.

K.M. Sarma (B) Former Executive Secretary, Ozone Secretariat, United Nations Environment Programme AB-50, Anna Nagar, Chennai – 600 040, India e-mail: sarma [email protected] K.N. Taddonio US Environmental Protection Agency, 1621 T Street NW, T-06 Washington, DC 20009, USA e-mail: [email protected]


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Keywords Financial mechanism of the Montreal Protocol · global environment facility · lessons for climate change · multilateral fund · transfer of technology

Introduction Today there are nearly 270 environmental treaties, covering issues such as marine and air pollution, hazardous waste, biodiversity, desertification, and climate change. Development, commercialization, and transfer of environmentally sound technologies are the crux of these treaties, and this includes the ozone treaties. The Montreal Protocol aims to phase out 96 ozone-depleting substances (ODSs), used in thousands of products in 240 sectors, through transition to ozone-safe technologies throughout the world in a specified time frame. It is one of the most successful treaties for three clear reasons: (1) it is based on science—constantly updated and taken on board, (2) it applies the “precautionary principle” in setting technically and administratively challenging but feasible phaseout goals before the adverse impacts of ozone become unmanageable, and (3) it is successful at motivating the development, commercialization, and transfer of technology. It is significant that the Protocol started in 1987 with only a freeze on halon production and a 50% reduction in CFCs was repeatedly amended to add new chemical substances and adjusted to accelerate the complete phaseout. In the Meeting of the Parties in Montréal in September 2007, Parties approved an adjustment to accelerate the phaseout of hydrochloroflurocarbons (HCFCs) in order to further protect the ozone layer.

Montreal Protocol Results Compliance with the Protocol control measures has been excellent so far. The reported figures for 2007 show that the non-Article 5 Parties1 have phased out all consumption of ozone-depleting CFCs, Halons, carbon tetrachloride, methyl chloroform, and methyl bromide (a total of 1.1 million ozone-depletion potential (ODP) tons2 ), with the exception of the 63 ODP tons for essential uses and 3574 ODP tons for critical methyl bromide use, exempted till then from phase out by the Meetings of the Parties. Article 5 Parties (developing countries) reduced their consumption from a baseline of 274,400 tons to 19.1345 tons and are well on their way to phasing out according to the time schedule of the Protocol. 1

The term non-Article 5 Party generally refers to developed countries. “Article 5” countries are those developing countries with annual per capita consumption of ODS less than the limits specified in Article 5 of the Protocol and qualify for assistance meeting ozone-depleting substance phaseout goals. 2 ODP tonnes are defined as the number of tonnes of a substance multiplied by the substance’s ozone-depletion potential.

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Hydrochlorofluorocarbons (HCFCs) are not due for phaseout by non-Article 5 Parties until 2030, with Article 5 Parties permitted an additional 10 years beyond that. The implementation of the control measures for HCFCs is on schedule and the Parties have recently approved an adjustment to accelerate the phaseout. More than 240 sectors with products dependent on ODSs halted most uses within 10 years and often the companies that replaced ODSs ended up with higher performance of their products than when they used ODSs. What is more, the companies overwhelmingly demonstrated that technology transfer for environmental protection can be cost-effective. Costs associated with ozone layer protection turned out to be far less than the exaggerated forecasts, and the savings are incalculable. One extraordinary measure of success is that enterprises and their customers are generally more satisfied with the replacements than with the ODS-based products and technologies. This was a no-compromise market transformation: in addition to being ozone-safe, alternatives and substitutes are equally safe or safer for the earth’s climate, more energy-efficient, lower in toxicity, superior in safety, and more reliable and durable. Often, alternatives have reduced costs to businesses and increased employment. Corporate, military, environmental, and citizen stakeholders are proud of what they have accomplished through consensus, cooperation, and regulation.

Secrets to Success At first glance, it is easy to regard the Montreal Protocol as a chemical treaty—given that it regulates 96 different ODSs. But it is more accurate and perceptive to regard the Montreal Protocol as an environmental technology treaty. The ODSs addressed in the treaty were used in thousands of products. A process of continuous technological innovation was required to develop chemical substitutes for ODSs, as well as non-chemical and not-in-kind substitutes. It is significant that in all but exceptional cases, elimination of ODSs was accomplished with no compromise in environmental health and safety, and in a majority of cases all aspects of environmental performance were improved.3 What are the secrets to its success? The answer starts with leadership from an astonishing variety of organizations and people from governments, international organizations, non-governmental organizations, industry associations, scientists, engineers, and many others who took early action to tackle the problem of ozone depletion and inspired others to follow their example. Institutional arrangements also were important, including the Ozone Units—the focal points for action on the Montreal Protocol in each of its now 191 Parties. The Ozone Unit focal points are a dedicated group of professionals who understood their mission and have formed both formal and informal networks with the broader ozone community to carry it 3

For example, no-clean soldering eliminated CFC-113 solvent, used only water to remove solder residue, reduced the amount of lead used and the quantity of lead dross, and increased the reliability and life expectancy of electronic products, which increases life-cycle sustainability.

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out. Financial assistance to developing countries was another critical part of the institutional arrangements, as was the Montreal Protocol’s visionary technology assessment process, including the Technology and Economic Assessment Panel (TEAP). Another factor in the Protocol’s success was the ability of the regime to identify and remove barriers to technology transfer, including through changes in national laws and voluntary codes.

“Common But Differentiated Responsibility” of Countries for the Problem and the Solution The Montreal Protocol recognized explicitly the principle of “common but differential responsibility” of countries for the ozone depletion as well as for its solution. The developed countries, through their large consumption of ODS for many years, created the problem of ozone depletion, while the developing countries started consuming the ODS relatively late and consumed smaller quantities. Also, the developed countries can contribute more to the solution of the problem than the developing countries because of their technological capabilities and financial strength. This recognition resulted in three important features of the Protocol: • The Protocol gave a grace period of 10 years or more for developing countries to reduce use of and phase out the ODSs. Developed countries had to phase out ODSs first and show the way to the most environmentally safe and cost-effective technology. • The Protocol provided for technology transfer to developing countries. According to Article 10A of the Montreal Protocol, “each Party shall take every practicable step, consistent with the programs supported by the financial mechanism, to ensure that the best available, environmentally safe substitutes and related technologies are expeditiously transferred to Parties operating under paragraph 1 of Article 5 [developing countries],” and that “transfers [. . .] occur under fair and most favourable conditions.” • The Protocol created a financial mechanism to meet the incremental costs of developing countries in implementing the control measures. The second and fourth meetings of the Parties approved a detailed indicative list of incremental costs that will be met.

Technology Change in Developed Countries Technology change generally came about first in developed countries and only then in other countries, as the Protocol mandated earlier phaseout by developed countries. The challenge of change was quite daunting, even in the developed countries. The


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industries that used ozone-depleting substances are very diverse. ODSs were not just used by large industries; they were used in thousands of small industries as well. By the late 1980s, more than 240 separate product sectors depended on ozonedepleting substances. Some products were unnecessarily used for cosmetic, convenience, and entertainment products where alternatives were readily available (examples include deodorant, wineglass chillers, tire inflators, dust blowers, toys, noise-making horns, and tobacco puffing). However, many other ODS products had become vital to society. The more critical uses included: • Medical applications, such as metered-dose medicine inhalers, sterilization, cleaning of heart pace-makers and artificial limbs, and blood substitutes • Refrigeration for meat and fish processing; vegetable storage; and frozen food, blood, and medicines • Air conditioning in buildings and vehicles • Foam insulation for refrigerated appliances, building insulation, and industrial applications • Cleaning of critical electronic and mechanical components, including for weapons detection and guidance, safety systems for nuclear and hazardous chemical facilities, and aircraft flight control • Fumigation for quarantine and pest control • Fire protection and explosion suppression in telecommunications, naval and commercial shipping, aircraft, oil and gas processing, and transport • Safety foams used in vehicles as padding and structure • Industrial processes, including nuclear fuel processing and aluminium manufacturing • Laboratory and analytical uses, including leak testing and as a dielectric medium in scientific and medical equipment

Steps Taken by Developed Countries The governments of developed countries took many steps to promote ozone-safe technologies. These steps were very diverse, and included policies, regulations, awareness and education campaigns, and financial incentives and disincentives, and more. The policies were regulatory as well as economic. These included: • • • • •

Bans on production or import of ODS products Taxes on ODS and tax concessions for alternatives Industry leadership pledges for developing countries Organized technology transfer to CEIT and developing countries Labeling programs

These policies stimulated action to develop and commercialize new technology. This process is complex, but it is possible to identify a consistent pattern of research,

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testing, validation, commercialization, and communication that occurred in order to eliminate ODSs. For each ODS use, the steps taken were: • Motivate action, including research and development • Identify and invent plausible alternatives and substitutes • Test technical performance and economic feasibility, picking winners among technology choices • Validate environmental acceptability and secure government approval • Commercialize support infrastructure for the replacement technology • Remove barriers to the new technology • Communicate and compete against the ODSs allowed by the Montreal Protocol One unanticipated country-level barrier to technology transfer in developed countries was the existence of numerous laws and policies that mandated the use of ozone-depleting substances. Fire safety laws for weapons systems, aircraft, ships, and racing cars, for example, often mandated the use of halon fire suppression systems. Quarantine standards often encouraged or required methyl bromide for certain pests and products. CFC refrigerants were required by law in some areas, and both industry and military cleaning standards required cleaning with CFC-113. In these cases, enterprises and governments seeking change organized strategic projects to remove specific barriers.

The Financial Mechanisms for Developing Countries and Countries with Economies in Transition (CEIT) The Multilateral Fund The Multilateral Fund (MLF) for the Implementation of the Montreal Protocol on Substances that Deplete the Ozone Layer was established under Article 10 of the Montreal Protocol in 1990 to help developing countries phaseout the production and consumption of ODSs. Countries designated by the Meeting of the Parties to the Montreal Protocol as developing and that consume less than quantities prescribed in Article 5 of the Protocol (Article 5 Parties) are eligible for assistance. The fund covers the incremental costs associated with technology transfer, including the costs of on-site engineering, equipment purchase and installation, training, and start-up. Capacity-building projects, such as the establishment of national ozone offices and regional ozone network offices, are also eligible for funding. The MLF finances and audits the projects which are managed by implementing agencies. The Meetings of the Parties decide how much money will be required for the next three-year “replenishment” of the fund and the developed country Parties contribute to the Fund according to the ratio of their contributions to the United Nations. Other governmental, intergovernmental, and non-governmental sources were also welcome to contribute to the Fund, though none have so far done so. Bilateral aid agencies of developed countries could spend up to 20% of their contributions to the


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Fund directly in the recipient countries or regions, subject to the approval of their programs by the Executive Committee of the Multilateral Fund. The Fund started out with US$240 million for the period 1991–1993. Every 3 years, the Fund was replenished after a needs assessment made by the Meetings of the Parties. The replenishments were in the following amounts: 1991–1993 US$240.0 million 1994–1996 US$455.0 million 1997–1999 US$466.0 million 2000–2002 US$440.0 million 2003–2005 US$474.0 million 2006–2008 US$400.4 million 2009–2011 US$400.0 million By 7th November 2008, the Executive Committee had approved the expenditure of US$2.40 billion to support about 5,789 projects and activities in 144 developing countries. The implementation of these projects will result in the phase out of the consumption of more than 427,000 ODP tons and the production of about 173,616 t of ozone depleting substances. Of this total, about 405,000 ODP tons of consumption has already been phased out by the end of 31 December 2007. (Report of the Executive Committee of the Multilateral Fund to the Twentieth Meeting of the Parties, 2009-UNEP/Ozl.Pro/20/7 dated 14 November 2008 available at http://ozone.unep.org/Meeting Documents/mop/20mop/MOP-20-7E.pdf))

The MLF Executive Committee The responsibility for overseeing the operations of the MLF rests with an Executive Committee, supported by the Fund Secretariat. The Executive Committee develops and monitors the implementation of specific operational policies, guidelines, and administrative arrangements, including the disbursement of resources; develops the 3-year plan and budget for the MLF, including allocation of resources among the implementing agencies; develops the criteria for project eligibility and guidelines for the implementation of activities supported by the MLF and reviews the performance reports and expenditures of those activities; reports annually to the Meeting of the Parties on the activities exercised; and makes recommendations as appropriate (United Nations Environment Programme 1997). The Executive Committee consists of 14 members, 7 from Article 5 Parties and 7 from non-Article 5 Parties. The members are selected by each group of Parties and formally endorsed by the Meeting of the Parties. The Chair and the Vice-Chair of the Executive Committee are subject to annual rotation between the Article 5 and non-Article 5 Parties, the group not providing the Chair selects the Vice-Chair

Implementing Agencies of the MLF The implementing agencies of the MLF are the United Nations Environment Programme, the United Nations Industrial Development Organization, the World Bank,

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and the United Nations Development Programme. The United Nations Environment Programme acts as an information clearinghouse, conducts awareness training, and helps countries establish country programs for ODS phaseout. The United Nations Development Programme, the United Nations Industrial Development Organisation, and the World Bank implement investment, technical assistance and demonstration projects. In addition, a number of developed countries provide bilateral assistance to developing countries, with costs counted as a contribution to the Fund.4 Developing countries can choose to collaborate with any of the four implementing agencies or with Parties offering bilateral assistance to prepare their country programs or project proposals.

Global Environment Facility (GEF) The GEF was established in 1991 to help developing countries fund projects and programs that protect the global environment. Currently, over 30 countries contribute funds to the GEF. The GEF funds a variety of projects, from its small grants programs to full-sized projects (more than US$1 million) (Global Environment Facility 2007a). Any person or group can propose a project, but the project has to meet two key criteria: first, it “must reflect national or regional priorities and have the support of the country or countries involved” and second, “it must improve the global environment or advance the prospect of reducing risks to it.” GEF-funded projects are managed by the United Nations Development Programme, United Nations Environment Programme, and the World Bank. The GEF helped finance technology transfer to countries with economies in transition (CEITs) for the phaseout of ozone-depleting substances (ODSs). After the collapse of communism in Eastern Europe and the break-up of the USSR in 1991, the new states were in a state of social and economic turmoil. Despite this turmoil, they were both determined and required to meet the rigorous phaseout requirements for ODSs established under the Montreal Protocol. These countries did not meet the qualifications for financial assistance from the MLF because they had not been designated as “developing countries” by the Meetings of the Parties to the Montreal Protocol. A political resolution was achieved when the GEF stepped in and helped the CEITs to acquire the technologies needed to comply with the ozone-depleting substances’ phaseout schedule. 4

Up to 20% of a contribution due to the Fund can be spent by a contributor on regional and bilateral cooperation if it is related to compliance with the provisions of the Protocol and meets agreed incremental costs. In practice, the Executive Committee has to approve each of the bilateral activities in advance.


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Good Results from GEF Assistance According to data reports under Article 7 of the Protocol, total consumption of CFCs in the countries funded by the GEF decreased from about 224,000 t in the base year to 1,300 t by 2004—a drop of more than 99%. Production has been reduced accordingly. Of the four original CEIT producers of ODSs, only Russia sustained a considerable production capacity, which was phased out at the end of 2000. Between 1991 and 2004, the GEF allocated more than US$177 million projects to phaseout ODSs and cofinanced US$182 million.

Technology Transfer Debates in International FORA The 1992 Earth Summit led to the development of Agenda 21, a comprehensive blueprint of action to be taken globally to minimize human impacts on the environment in the twenty-first century (United Nations 2006). Chapter 34 of Agenda 21 dealt specifically with the transfer of environmentally sound technology, cooperation, and capacity building. The 2002 World Summit on Sustainable Development resulted in the Johannesburg Plan of Implementation, which called upon the global community to promote, facilitate, and finance, as appropriate; access to and the development, transfer, and diffusion of environmentally sound technologies and corresponding know-hows, in particular, to developing countries and countries with economies in transition on favorable terms, including on concessional and preferential terms, as mutually agreed, as set out in Chapter 34 of Agenda 21.

Barriers to Technology Change A study of the completed projects of MLF and GEF by Andersen et al. (2007) identified many barriers to technology transfer and change. These are as the institutional, social, political, technical, and economic factors that prevent or slow the adoption of environmentally superior technologies.

Intellectual Property Rights Some scholars believe that the intellectual property regime is the primary obstacle restricting developing country access to better technologies. Many believe that multinational enterprises are over-charging developing countries for access to new technologies, imposing unacceptable conditions, or short-changing developing countries in other ways.

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It is notable that intellectual property rights constituted only an occasional and easily overcome barrier to technology transfer for protecting the ozone layer, despite fears and expectations that global environmental protection is inhibited both by the lack of access to technology and by the lack of rewards to inventors resulting from violation of intellectual property. In many cases, the technologies needed to phase out the use of ozone-depleting substances were in the public domain. Some technologies important to stratospheric ozone protection were protected by intellectual property but were transferred under fair and favorable conditions negotiated by the Global Environment Facility (GEF) and Multilateral Fund (MLF). In a few cases, there were problems in obtaining technologies from some suppliers, but the problems were ultimately sorted out by going to others. In the two cases where intellectual property considerations constituted significant barriers to technology transfer, solutions were ultimately found. In the first case, which involved the transfer of technology for the manufacture of HFC-134a, developing country enterprises developed their own processes to avoid paying licensing fees or accepting conditions they considered to be unacceptable. In the second case, which involved the manufacture of HFC-227ea, China and Russia successfully developed the process through indigenous research and development. There have been no complaints of unauthorized use of patented technology to protect the ozone layer. Some experts argue that strong intellectual property rights could actually encourage the transfer and diffusion of environmentally sound technologies. Their hypothesis is that countries with strong intellectual property rights attract more foreign direct investment, and that foreign direct investment expedites the transfer of new technology, including environmentally sound technology. Too few studies have been done to confirm or disprove this hypothesis. There is no evidence from the Montreal Protocol experience supporting this hypothesis.

Barriers Most Experienced Financial assistance provided by the MLF and GEF helped to overcome the primary barrier to technology change in developing countries and CEITs: the cost of new technology. Most technology transfer projects implemented by the MLF and the GEF went smoothly. However, in some cases, technology transfer projects were more difficult to implement. Challenges to technology transfer in CEITs and developing countries fell broadly into the following categories listed in Table 1 on the next page.

Solutions to Barriers One of the greatest challenges addressed through ODS phaseout projects in developing countries was transfer of technologies to small- and medium-sized enterprises (SMEs). These enterprises have limited awareness of alternatives technologies, lack


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Table 1 Barriers commonly experienced Problems at the enterprise level

Problems at the country level

Problems at the international implementing and financing agency level Problems created by suppliers of equipment

Problems gaining access to ozone-safe technologies

These problems arose from lack of knowledge, particularly at the top management level and training; inadequate technical and administrative capacity; managerial problems or financial problems (to receive financing, enterprises had to demonstrate financial viability; some struggling enterprises had a difficult time with this). Country-level problems occasionally delayed technology transfer projects or caused them to be cancelled. Examples include political turmoil, war, terrorist incidents, health risks, and economic recessions. Bureaucratic problems were not uncommon. These included delays caused by inadequate infrastructure, ineffective functioning of the local institutions, banking and infrastructure delays, and lack of policies and regulations. These included: bureaucratic policies and procedures, inadequate flexibility, poor sourcing of technical expertise, slow disbursement of funds, and poor appreciation of local conditions by some consultants and bilateral partners. Also, competition between implementing agencies and bilateral partners sometimes caused confusion. Some equipment suppliers did not provide adequate instruction in the use of their technology. Some equipment suppliers sold equipment and then fell out of contact, making it difficult for technology recipients to service or repair equipment. In a few cases, suppliers of equipment were overwhelmed with orders and projects had to be delayed. In a very few cases, technology owners refused to license technology, and enterprises had to develop their own technology or (as was more often the case) go to different suppliers.

of resources to understand and adopt technologies, and are small in size. To ensure that the issues concerning SMEs were adequately addressed, the multilateral agencies and bilateral agencies worked closely with local institutions to understand the needs of SMEs and address their technology transfer requirements. The experience showed that awareness was a significant component of technology transfer, and that increased awareness did facilitate technology adoption. Many country-level barriers were either problems of governance or unexpected events (e.g., government delays, banking delays, delays caused by the SARS outbreak in Southeast Asia and political turmoil in Africa). Lack of policies and regulations, a barrier to the transfer of environmentally superior technology often debated at the international level, was successfully addressed under the Montreal Protocol. By becoming party to the Protocol, all countries committed to the phaseout schedules agreed by the Parties. Furthermore, implementing agencies of the MLF and the GEF often required documentation of country laws and regulations prior to providing technology transfer assistance. For example, the MLF required countries to have refrigerant management plans or to control imports of ODSs and ODSbased equipment as a precondition for the implementation of refrigeration recovery and recycling subprojects.

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The MLF and implementing agencies have learned many lessons about how to improve technology transfer and minimize barriers (United Nations Environment Programme 1999; Centre for Science and Technology of the Non-Aligned and Other Developing Countries et al. 1999). Several lessons they reported are as follows: Policy-related lessons • • • • • •

Awareness of the Montreal Protocol and phaseout schedules is essential It is necessary to provide alternatives and options National Ozone Units need to understand technology assessment principles It is necessary to collaborate with other agencies to get projects off the ground Networking seems restricted to governments, and needs to be broadened It is essential to use national experts

Technology-related lessons • New chemicals and products have often problems of flammability, toxicity, contamination, and safety • Alternative technologies require careful implementation to mitigate inferior technical performance Cost-related lessons • Old alternatives to ODSs tend to have lower investment and operational costs than new alternatives Market-related lessons • It is essential to understand the influence of external and local factors on the market How implementing agencies can help overcome barriers to technology transfer • • • • • •

Build a combination of cross-linked incentives and disincentives Obtain grants for ODS-consuming enterprises Mount public awareness campaigns and implement eco-labeling Introduce legislation and enforce ODS phaseout and product bans Exert influence in industrial associations to set technical standards and Encourage governments to impose local sales taxes on ODS-based equipment

It is notable that fewer technology transfer problems were encountered in practice than were put forth in theory, and these problems rarely created barriers to ODS phaseout. This is perhaps evidence of the effectiveness of technology transfer support provided by the MLF, the GEF, and the United Nations Environment Programme (UNEP). Financial barriers, one of the most commonly debated barriers to technology transfer, were overcome through access to GEF and MLF grants. Lack of skills and capacity, another commonly debated barrier to technology transfer, was overcome through capacity-building projects sponsored by implementing agencies, as well as the training provided by technology suppliers and financed by the MLF and GEF. Information-based barriers to technology transfer were eliminated by the successful efforts of UNEP.


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Capacity Building In 1987, 5 years before the 1992 Rio Declaration, the Parties to the Montreal Protocol debated the practical importance of capacity building for technology transfer. It was realized up front during the formulation of the Protocol and later during its implementation that the “software” part of technology transfer is as important as investment components. In fact, in the case of the majority of Parties to the Montreal Protocol—developing countries and in particular, low volume-consuming countries—the capacity building component forms the major part of the technology transfer. Over half of the technology transfer projects conducted by the Multilateral Fund were “software” projects that provided countries with the training and capacity necessary to support technology transfer projects and comply with the Montreal Protocol (Multilateral Fund for the Implementation of the Montreal Protocol, 2006). This type of spending was critical to technology transfer and necessary for success. Among other things, these “software” projects helped countries create strong and effective National Ozone Units (Rasmussen et al. 2001). A study completed for the Executive Committee of the Multilateral Fund in 2004 found that “many countries could only afford to retain a skeleton staff to oversee national ODS phase-out activities” (Kelly 2004, p. 20). In Latin America and Africa, for example, the countries each employed no more than two permanent staff for ODS phaseout, with some countries getting on with only part-time dedicated staff (Kelly 2004). Multilateral Fund assistance helped remedy this problem so that technology transfer and ODS phaseout could proceed smoothly.

Information and Networking Information and networking activities, as provided by the United Nations Environment Programme’s (UNEP) OzonAction and other organizations, proved to be important for the success of investment projects implemented by the United Nations Industrial Development Organization (UNIDO), United Nations Development Programme (UNDP), and the World Bank. UNEP received the smallest portion of the budget (less than 5%) of the Multilateral Fund. Nevertheless, “OzonAction generated a vast range of information on the evolving treaty, the science, government policies, technologies, industry news, success stories, available publications, meetings and workshops, and training programs. It utilized an interactive online computerized system and diskettes, as well as traditional publications, including the quarterly newsletter OzonAction, published in six languages. It undertook policy and technical research and produced sectoral training manuals, technical source books, and multilingual brochures. The UNEP also provided databases on technologies, products, enterprises, and specialized experts around the world, and it organized

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technical and training workshops that promoted essential networking between local personnel and experienced specialists from foreign enterprises and governments. In addition, the UNEP provided support to developing countries’ coordinating offices and helped small, low-consuming parties to prepare their national phaseout programs. This extensive underpinning work at relatively modest cost was essential in preparing the way for implementation of the MLF investment programs” (Benedick 1998).

The Financial Mechanism’s Many Roles in Technology Change The financial mechanism played an invaluable role in global technology change for the protection of the Earth’s stratospheric ozone layer. It did much more than simply provide funds: it enabled immediate action, spurred the development of ozone-friendly alternatives, raised awareness, pushed countries to establish phaseout plans, allowed for the formation of networks, provided training, and helped countries make effective regulatory and policy decisions—things that are all critical to technology change. The financial mechanism enabled immediate action. Although the Protocol did not mandate the first control measures for developing countries until 1999, the financial mechanism did not wait to start assisting developing countries. Many developed countries had already initiated action to switch to ozone-safe technologies, some of them as early as 1974. As a result, by the time the Multilateral Fund stated functioning in 1991 many ozone-friendly technologies were available. The Multilateral Fund started to assist the developing countries immediately to switch over these technologies, without bothering about the date of first control measure and continued its proactive stance thereafter. As a result, technology change began early in developing countries and they were well ahead of their control measures by 1999 and ever since. The financial mechanism spurred the development of ozone-friendly alternatives, and encouraged industry to make the switch. The Multilateral Fund met the incremental capital costs of the switch over and the incremental operating costs as necessary. This provided financial incentive for the industries to switch over to ozone-friendly technologies. It also created a larger market for ozone-friendly technology and stimulated the development of alternatives, expediting technology change. The financial mechanism raised awareness. Under the Montreal Protocol, education and outreach programs motivated industry and consumer groups to promote ozone solutions through education programs, voluntary agreements and other initiatives (see Box 1). These activities had a positive impact on technology change.


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Box 1 Awareness-raising activities conducted by United Nations Environment Programme’s (UNEP’s) OzonAction OzonAction took many steps to raise awareness, including: • Convening seminars and workshops, including exhibitions showcasing alternative technologies • Recognizing and promoting environment-friendly government and private enterprise efforts • Encouraging industry pledges to adopt alternatives and substitutes • Giving awards to recognize outstanding contributions from both public and private sectors • Distributing environment-friendly messages on banners, posters, bags, key chains, clocks, stationery, and car stickers • Holding competitions and field activities • Celebrating the International Day for the Protection of the Ozone Layer (16 September, the day in 1987 when Montreal Protocol was signed, declared as the Day by the General Assembly of the United Nations) and • Disseminating information through all media outlets, including the Internet, television, radio, books, magazines, newspapers, newsletters, and other material, and using public figures to promote key messages OzonAction also prepared many publications and technical resource materials based on the Technology and Economic Assessment Panel (TEAP) reports to familiarize the industries of the developing countries with the advantages and disadvantages of the different technologies. The financial mechanism pushed countries to develop goals and phaseout plans. Under the Montreal Protocol, country programs for developing countries and CEITs were developed and implemented with technical and financial assistance from the MLF and the GEF, and based on some of the experiences and strategies deployed by developed countries in their country programs. One benefit from country programs is that many countries have found it in their interest to adopt ODS phaseout schedules that are more aggressive than those mandated by the Montreal Protocol. Mexican enterprises profited from their accelerated phaseout of CFC aerosol products, Colombian flower growers took pride in being first to phaseout methyl bromide for soil fumigation for flowers marketed worldwide, and India demonstrated leadership in halting the use of halons in portable fire extinguishers. Overall, the actual levels of ODS production and consumption in developing countries has been lower than permitted levels every year since the Montreal Protocol entered into force, in part due to the country programs. By helping countries develop country goals and phaseout plans, the financial mechanism speeded technology change. The financial mechanism allowed networks and information focal points to be established. The creation of an office, or focal point, within each developing country’s government with appropriate financial assistance to ensure adequate resources and prevent excessive staff turnover helped compliance and implementation efforts.

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International and regional networks of focal points and others are important in sharing experiences, exchanging knowledge, and furthering skill development. Once established, focal points in each country were organized into nine regional and global networks to facilitate the exchange of information, best practices, and technology transfer. These networks played an extremely important role in providing feedback to the MLF and to other Parties on which projects within country plans worked or did not work, and in facilitating transfer of expertise and technology from developed to developing countries and between developing countries. The financial mechanism provided training. Those experienced in technology transfer activities know that “No Training, No Technology Transfer.” Both the MLF and GEF supported many training programs. Training was provided for toplevel decision makers, officials, industrial executives, and technicians on alternative technologies, servicing, and more. This training greatly facilitated the technology change. The financial mechanism helped countries establish regulations and policies to promote technology change. All the Parties to the Montreal Protocol deployed restrictions on the producers and users of ODSs, which included outright bans on production and imports. Many Parties took action before the Montreal Protocol was negotiated. Other policies involved the use of financial incentives to spur technology transfer. Many countries have taxes or fees on ODSs that are intended to discourage use and raise revenue. In some cases, the revenue was spent on programs to encourage ozone layer protection, while in other cases the revenue was not used to fund environmental activities. Another kind of measure countries have used with success is labeling programs. Labeling programs help inform consumers which products and processes are “ozone-safe.” The MLF and the GEF assisted the developing countries and CEIT to introduce the necessary regulations and policies to promote technology change.

Designed for Success: Why was the Financing Mechanism a Proactive Instrument for Technology Transfer The success of both the MLF and GEF in the Montreal Protocol is largely a result of the freedom and flexibility granted to financial mechanisms by the Parties to the Montreal Protocol. The indicative list of incremental costs gave good guidance to the MLF, but the MLF had the right of interpreting each entry in the list to suit effective achievement of its goals. These had to be to the satisfaction of both the Article 5 and non-Article 5 Parties, who are equally represented in the Executive Committee and many of whom had contrary goals. There were extensive discussions in the Executive Committee, elected every year by the Meeting of the Parties (MOPs), on each issue, which were resolved by arriving at a compromise that allowed projects to proceed. Rarely have such disputes been taken to the MOPs. Sometimes the Executive Committee went beyond the indicative list. The institutional strengthening and


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networks in developing countries were funded by the MLF even though they were not mentioned in the list. The Executive Committee also had the freedom to experiment with new techniques. It gradually progressed from projects for each enterprise to sector-wise projects to National Terminal Phaseout Plans. The GEF had similar freedom to improvise the solutions in the CEITs for their ozone projects even though the GEF Council members are not elected by the Meeting of the Parties (MOP) to the Montreal Protocol. The Multilateral Fund is also the focus of all the activities to assist the developing countries. Donor countries could have their own bilateral Montreal Protocol programs (up to 20% of their contribution due to the Multilateral Fund) in developing countries but such programs have to be approved by the Executive Committee. This avoided confusion and duplication of activities. Many of the donors chose to use only a small part of this allowance and left most of the activities to the Multilateral Fund. The MLF does not distinguish between Parties on any political basis. All members of the Executive Committee have one vote each (unlike in the World Bank where the voting strength is proportional to their contributions). Developing countries and developed countries are equal in number, and the chairmanship rotates between the groups. Another reason for the success of the MLF is the replenishment process, which occurs every 3 years. The TEAP estimates the funding required for each replenishment period, taking into account the obligations of the developing countries, the projects already approved, and the lead time for completion of projects. The TEAP report is reviewed and decided upon by the Parties at the MOP. It is remarkable that even after extensive negotiations, the Parties generally approve a replenishment figure very near the one recommended by the TEAP. In fact, there have been several occasions where the Parties approved funding for Article 5 Parties that would reduce their consumption of ODSs more than what was demanded by the schedules of the Protocol. This has the added bonus of allowing developing countries to plan country programs and other implementation projects with a high degree of confidence that the necessary funding will be available to execute their plans.

Conclusion The financial mechanism of the Montreal Protocol was much more than a means of passing on funds to the developing countries. The Parties to the Protocol made it an instrument for removing the barriers to technology change and to create confidence among even the poorest countries that the task of phasing out ODS in scheduled time frame is achievable and that the entire world is behind them to assist in fulfilling the task. It has achieved what was thought almost impossible phaseout of nearly a hundred widely used chemicals by all countries of the world in a specified time frame.

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References Andersen, S. O., Sarma, K. M., & Taddonio, K. N. (2007). Technology transfer for the ozone layer; Lessons for climate change. London: Earthscan Benedick, R. (1998). Ozone diplomacy: New directions in safeguarding the planet. Cambridge, MA: Harvard University Press. Centre for Science and Technology of the Non-Aligned and Other Developing Countries, United Nations Environment Programme, Asian and Pacific Centre for Transfer of Technology (1999, March). Proceedings of the Asian Regional Workshop on Alternate Technology for ODS Phaseout, Bangkok, Thailand, March 1–3, 1999. Global Environment Facility (2007a). Operational policies. Retrieved October 25, 2007, from: http://thegef.org/Operational Policies/Eligibility Criteria/eligibility criteria.html. Global Environment Facility (2007b). Projects. Retrieved October 25, 2007, from: www.gefweb. org/Projects/projects-projects/projects-projects.html. Kelly, L. (2004). The Multilateral Fund for the Implementation of the Montreal Protocol. Addressing challenges of globalization: An independent evaluation of the World Bank’s approach to global programs. The World Bank: Operations Evaluation Department. Washington, DC: The World Bank. Multilateral Fund for the Implementation of the Montreal Protocol (2006, December). Consolidated progress report. UNEP/OzL.Pro/ExCom/52/10. Published 31 December 2006. Retrieved 1 October 2007, from: http://www.multilateralfund.org/52nd meeting of the executive .htm Rasmussen, R., Artusio, C., Gassan-zade, O., Gonin, E., & Ngugi, J. (2001). A country-driven approach to the phase-out of ozone depleting substances in developing countries. Working Paper No. 01-04. The Weatherhead Center for International Affairs: Harvard University. Retrieved 25 October 2007, from: http://www.ciaonet.org/wps/rar01/ United Nations (2006). Agenda 21. Retrieved 3 March 2006, from: www.un.org/esa/sustdev/ documents/agenda21/index.htm. United Nations Environment Programme (1997, September). Report of the 9th Meeting of the Parties to the Montreal Protocol. (UNEP/Ozl.Pro 9/12 dated 25 September 1997, available at http://ozone.unep.org/Meeting documents/mop/09mop/9mop-12e.pdf) Annex V. United Nations Environment Programme, Division of Trade, Industry and Economics, OzonAction (2000). “Louder Lessons in Technology Transfer: Lessons learned and Case Studies” (available at http://www.uneotie.org/OzonAction/Information/mmcfiles/343-e.pdf)

Part IX

Conclusion

Athens Statement F. Sherwood Rowland, Guy Brasseur, Rumen D. Bojkov, Marie-Lise, Joe Farman, Sophie Godin-Beekmann, Marco Gonzalez, Ivar S.A. Isaksen, Igor Karol, Michael J. Kurylo, Mack McFarland, John Pyle, Richard Stolarski, and Christos Zerefos

On the occasion of the 20th anniversary of the Montreal Protocol for the protection of the ozone layer, scientists have gathered at the Academy of Athens today, September 26, 2007. They noted that the success of the Montreal Protocol is largely based on scientific progress made over the last decades. A world of extreme high chlorine, low ozone, and high UV has presently been avoided. Continued adherence to the Montreal Protocol will assure that this remains the case in the future. It is perhaps one of the most illustrious examples of a successful global collaboration between scientific, industrial, and environmental organizations and policy makers. Control of ozone-depleting substances as imposed by the Montreal Protocol is not the only factor that influences the variability of ozone and of harmful solar UV radiation. Aerosols, volcanic eruptions, and climate change also influence the expected recovery of the ozone layer from the effects of halocarbons. F.S. Rowland Donald Bren Research Professor of Chemistry and Earth System Science 516 Rowland Hall University of California, Irvine, CA 92697-2025 USA G. Brasseur Earth and Sun Systems Laboratory National Center for Atmospheric Research P.O. Box 3000 Boulder, CO 80307, USA R.D. Bojkov Lossnitzgrund str. 8 D-01445 Radebeul Germany Marie-Lise CNRS/Service d’Aéronomie, SPARC Office Route des Gatines BP 3FR-91371 Verrieres Le Buisson Cedex, France J. Farman European Ozone Research Coordinating Unit Department of Chemistry University of Cambridge Lensfield Road Cambridge CB2 1EW United Kingdom S. Godin-Beekmann Service d’Aéronomie - CNRS Universite Pierre et Marie Curie - Boite 102, 4 place Jussieu, 75252 Paris Cedex 05, France M. Gonzalez Executive Secretary Vienna Convention and Montreal Protocol United Nations Environment Programme (UNEP) P.O. Box 30552 Nairobi - 00100 Kenya


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In areas like Greece where climate change may lead to significant reduction in precipitation and more frequent heat waves with more intense urban ozone and aerosol pollution events, new scientific and policy challenges will have to be faced.

Impact of Climate Change – Ozone Climate Interactions • The decrease in ozone-depleting substances is a dominant factor in the expected return of ozone levels to pre-1980 values. However, changes in climate will influence if, when, and to what extent ozone will return to pre-1980 values in different regions. • Future increases of greenhouse gas concentrations will contribute to the average cooling in the stratosphere. Chemical reaction rates in the atmosphere are dependent on temperature, and thus the concentration of ozone is sensitive to climate changes. Stratospheric cooling was observed during the past 2 decades. Further changes to the temperature and circulation of the stratosphere could affect climate and weather in the troposphere.

Implications for Policy Formulation • The Montreal Protocol is working: There is clear evidence of a decrease in the atmospheric burden of ozone-depleting substances and some early signs of stratospheric ozone recovery. I.S.A. Isaksen University of Oslo Dept. of Geosciences P.B. 1022, Blindern 0315, Oslo, Norway I. Karol Voeikov Main Geophysical Observatory of Roshydromet Head of Laboratory 7, Karbyshev str., St. Petersburg 194021 Russia M.J. Kurylo Goddard Earth Sciences and Technology Center University of Maryland Baltimore County, NASA Goddard Space Flight Center Mail Stop 610.6, 8800 Greenbelt Road Greenbelt, MD 20771 USA M. McFarland Environmental Fellow DuPont Fluoroproducts Chestnut Run Plaza 702/2330-A4417 Lancaster PikeWilmington, DE 19805 USA J. Pyle Centre for Atmospheric Science, Cambridge University, Chemistry Department, Cambridge, CB2 1EW UK R. Stolarski NASA/GSFC Code 613.3 Greenbelt, MD 20771 USA C. Zerefos (B) President of IO3C e-mail: [email protected]

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• Failure to comply with the Montreal Protocol would delay, or could even prevent, recovery of the ozone layer. • Understanding the interconnections between ozone depletion and climate change is crucial for projections of future ozone abundances. • Stratospheric and tropospheric ozone are critical components of the global climate system. Understanding this system requires continuation and strengthening of observation systems for ozone and other relevant species, both from ground and space. These observations will provide indispensable information about the phase-out of halocarbons as required by the Montreal Protocol and about the evolution of the atmosphere under climate change. Continuous efforts in laboratory studies and model developments are also needed. • It is imperative to develop similar cooperative relationships between scientific, industrial, and environmental organizations and policy makers to develop effective approaches to environmental threats in the “anthroposcene” era.

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The Nobel Laureates, Professor S. Rowland, Professor M. Molina, Professor P. Crutzen, NCAR Director Professor G. Brasseur, the President of the International Ozone Commission, Professor Christos Zerefos, Dr. S. Solomon, among high-level scientists and officials from NASA, NOAA, and other internationally recognized organizations at the celebration of the 20th year after the Montreal Protocol.

Author Index

Andersen, Stephen O., 56, 407–426, 449

Bais, Alkis F., 359–367 Balis, Dimitris S., 73–106, 213–234 Bhartia, Pawan K., 81–82, 183–188, 214 Bojkov, Rumen D., 73–106, 349, 353, 354, 461–463 Brönnimann, Stefan, 119–129

Canan, Penelope, 407–426 Chanin, Marie-Lise, 393–402 Crutzen, Paul J., 9, 14, 30, 34, 67–70, 84, 86, 104, 111, 282

Dalsøren, Stig, 279–289 Dameris, Martin, 226, 273–276 Diffey, Brian, 374, 381–383 Douglass, Anne R., 191–199, 251–258, 265

Erbertseder, Thilo, 213–234

Geller, Marvin A., 393–402 Godin-Beekmann, Sophie, 135–153, 461–463

Harris, Neil, 54, 89, 111–116, 203, 238 Hofmann, David J., 140, 157–171, 193, 196, 264, 265

Isaksen, Ivar S.A., 279–289, 461–463

Karol, Igor L., 349–355, 461–463 Kurylo, Michael J., 173–182, 238, 461–463

Lambert, Jean-Christopher, 141, 213–234 Lelieveld, Jos, 327–345 Lerot, Christophe, 213–234 Loyola, Diego, 213–234 Mart´ınez-Avilés, Mónica, 297–323 McElroy, Thomas, 57, 266, 369–379 McFarland, Mack, 420, 422, 431, 439–440, 461–463 Meleti, Charoula, 359–367 Meyer-Arnek, Julian, 213–234 Mosier, Arvin, 67–70 Nash, Eric R., 191–199, 330, 331 Newman, Paul A., 49, 114, 136, 147, 191–199, 211, 265, 300, 301, 330, 331 Nielsen, J. Eric, 191–199 Patten, Ken, 297–323 Pissulla, Darius, 359–367 Pommereau, Jean-Pierre, 201–211 Ravishankara, Akkihebbal, 387–391 Rodriguez, Jose M., 263–270 Rognerud, Bjørg, 279–289 Sarma, Madhava K., 56, 417, 426, 441–457 Schoeberl, Mark R., 49, 240, 244, 253, 263–270 Seckmeyer, Gunther, 359–367 Shalamyansky, Arkady M., 249–355 Smith, Keith, 67–70 Smolskaia, Irina, 359–367 Solomatnikova, Anna A., 349–355

465

466 Søvde, Amund, 279–289 Spurr, Rob, 213–234 Staehelin, Johannes, 119–129 Stolarski, Richard S., 14, 15, 46, 84, 90, 93, 104, 111, 136, 191–199, 254, 264, 267, 461–463

Taddonio, Kristen N., 441–457 Tanaka, Hirohisa, 291–294 Thompson, Anne M., 237–247 Titova, Eugenia A., 349–355 Tourpali, Kleareti, 359–367

Valks, Pieter, 213–234 Van Roozendael, Michel, 213–234

Author Index Velders, Guus J.M., 122, 192–194, 196, 197, 407–426, 440 Vogler, Christian, 119–129

Wang, Dong, 297–323 Wang, Wei-Chyung, 291–294 Winiwarter, Wilfried, 67–70 Wuebbles, Donald J., 297–323

Yamabe, Masaaki, 429–437 Youn, Daeok, 297–323

Zerefos, Christos, 5, 13, 259–280, 367, 369, 372, 461–463 Zimmer, Walter, 213–234

Subject Index

ACE, 141, 240, 247 Agriculture, 36, 67, 69 Airborne Arctic Stratosphere Expedition (AASE I), 178 Airborne science, 173, 175, 179 Alternative CFCs, 431–437 Anniversary of Montreal Protocol, 369 Antarctic, 34, 44, 45, 48–53, 56–59, 61, 62, 88, 92, 93, 96, 97, 99, 101–103, 105, 114, 136, 158, 160 Antarctic Lower Stratosphere, 52, 264, 267 Antarctic Ozone Hole, 52, 136, 165, 173, 174, 178, 185, 191–199, 213–234, 253, 257, 408, 409, 412–413, 415, 417, 422, 423 Arctic, 63, 91, 98–100, 102–105, 114, 136, 146, 147, 166, 167, 169, 171, 174, 178–180 Athens statement, 461–463 Atmospheric composition, 136, 137, 145, 148, 303, 307, 361, 388 AURA, 141

Balloon measurements, 157–171 Balloons, 42, 157–159, 161, 165–169 Biofuels, 68 Blowing agent, 431, 434 Brewer-Dobson circulation, 244, 246, 275, 276, 327, 328, 334, 335, 338, 340, 345, 371, 372

Capacity building, 446, 449, 452, 453 CCl2 F2 , 38, 39, 41, 60–62, 309, 429 CCl3 F, 36–43, 60–62, 309, 429 CFC-11, 38, 159, 194, 195, 197, 301, 302, 312, 424, 430, 431, 434–437, 446 CFC-113, 38, 195, 424, 430, 431, 434–437, 443, 446 CFC-12, 38, 159, 160, 195, 423, 430, 431, 434, 435

CH2 Cl, 31 CH3 Cl, 31–33, 35, 36, 38, 194, 195 CH4 , 31–35, 39, 40, 53, 54, 138, 148, 170, 282, 291, 307, 309, 328–331, 334, 336 CH4 X 4 H Chemistry of Ozone in the Polar Stratosphere (CHEOPS), 202, 203 Chlorofluorocarbon (CFC), 10, 14, 31, 36–44, 46, 56, 60, 61, 87, 104, 111, 121, 122, 129, 142, 158–160, 166, 179, 192, 194, 197, 263, 265, 291, 298, 301, 302, 389, 411, 412, 429–437, 439 CI, 29, 31–33, 38–41, 44, 52–54, 192, 265–269 CINAMMON, 141 CIO, 178, 179 Cleaning solvent, 41, 431, 434, 435 Climate, 7, 10, 11, 17, 68–70, 116, 120, 129, 137, 180, 181, 199, 226, 273, 275, 276, 291–294, 298, 300, 303, 304, 306, 308, 322, 323, 388, 393, 394, 399, 401, 402, 408, 409, 413–417, 419–422, 425, 443, 462, 463 Climate change, 5, 7, 9–11, 15–17, 63, 96, 148, 153, 196, 214, 238, 267, 273, 274, 276, 291, 293, 294 Climate-chemistry interaction, 292, 293, 401 Climate-Chemistry Models (CCMs), 193, 196, 253, 274–276, 328, 401, 402 CNES, 169, 202–204, 209 CO2 emission, 69 Constituent correlations, 254–256 Coupled Climate-Chemistry Models, 273–276 CTM, 115, 147, 222, 254–257, 281, 283, 298, 299, 301–303, 305–310, 316, 317, 320–323

Data quality, 81, 126, 128, 137, 140–141 Dehydration, 247, 334, 336, 338, 344 Developed countries, 6, 415, 431, 442, 444–446, 448, 454, 455, 457

467

468 Developing countries, 5, 6, 17, 56, 415, 416, 422, 431, 442, 444–450, 452–457 Dobson instruments ozone, 119

EASOE, 101, 203–205, 238 ECMWF, 147, 238, 329 EESC, 112, 115, 122, 145, 192–197, 199, 300, 301, 323, 390, 402 ENSO, 84, 86, 244, 350 ENVISAT, 141, 150, 206, 214, 215, 221, 258, 330 EQUAL, 141 Europe, 10, 14, 56, 89, 91, 98, 99, 126, 129, 148, 178, 187, 202, 203, 207, 209, 214, 231, 239, 240, 275, 281, 284, 286, 289, 293, 294, 329, 339, 362, 382, 420, 448

Financial mechanism of the Montreal Protocol, 457 FTIR, 138, 141, 142, 148–151, 202, 205 Future ozone, 14, 41, 61, 115–116, 129, 192, 194, 363, 463

Global Atmospheric Watch (GAW), 136, 153, 166, 223, 395, 396 Global Earth Observation System of Systems (GEOSS), 153 Global Environment Facility (GEF), 448–452, 455–457 Global Ozone Observing System (GO3 OS), 75, 78–80, 84, 104 Global warming, 63, 67–69, 291, 300, 301, 303–305, 382, 414, 417, 419–421, 433, 437, 439 Global warming potential (GWP), 69, 300, 301, 303–307, 316–323, 414, 416, 417, 421, 426, 433–435, 437, 439 GOME, 113, 187, 206, 207, 209, 214–231, 233, 242, 247, 350 GOME-2, 214, 216, 218, 220–233 GOME-ERS2, 206 Greenhouse gases (GHGs), 5, 16, 63, 122, 148, 197, 199, 274, 293, 299, 300, 303, 304, 401, 413, 416, 417, 419, 439 Ground-based measurement, 128, 136, 185, 223, 227, 228, 231

HO2 , H2OX2 H, HALOE, 144, 145, 205, 209, 257

Subject Index Halons, Ozone Depletion Potentials (ODPs), 298, 301–303, 307, 322, 442 HCFC-123, 434 HCFC-141b, 195, 434, 435 HCFC-142b, 434, 435 HCFC-22, 38, 148, 195, 414–416, 434 HCFC-225ca, 436 HCFC-225cb, 436 HFC-1234yf, 434 HFC-125, 434 HFC-134a, 38, 423, 434, 435, 450 HFC-152a, 434 HFC-245fa, 434 HFC-32, 434 HFC-36mfc, 434 HFC-43-10mee, 434 HFC-c-447ef, 434 HFE-347pcf, 434, 435 HFE-449sc, 434, 435 HFE-569sfc, 434, 435 HIRDLS, 141 Historical measurements, 122 HO, 23, 28, 29, 31–35, 38, 40, 41, 44, 53, 60 HOx , 28, 29, 37, 40, 41, 292, 307 Hydrochlorofluorocarbon (HCFC), 5, 7, 10, 16, 17, 38, 121, 142, 148, 195, 389, 407, 443 Hydrofluorocarbon (HFC), 38, 413, 414, 425, 426, 432–434, 437 Hydrofluoroether (HFE), 433, 434, 437

Impact of climate change, 462 Impact on climate, 67 Implications for Policy Formulation, 462–463 Indirect Global Warming Potentials (GWPs), 301 Industry, 5–7, 14, 17, 122, 175, 409–413, 422, 426, 434, 435, 439, 441, 443, 445, 446, 453–455 International Ozone Commission (IO3 C), 5, 78–80, 126, 395, 463

Kyoto Protocol, 11, 16, 17, 413–417, 419, 422, 440

Leadership, 18, 270, 394, 408, 411, 422, 423, 426, 443, 445, 455 Lessons for climate change, 442 Long term total ozone time series, 349 Lower stratosphere, 50, 52, 62, 73, 81, 88, 90, 98, 101, 102, 105, 112, 114, 115, 136, 151, 162, 164

Subject Index MAESTRO, 141 MaxDOAS, 149–152 Measurement techniques, 137, 395 MLS, 141, 209, 240, 245, 246 Model development, 253–256, 463 Molecular design, 435 Montreal Protocol, 5–11, 13–18, 23, 56, 60, 61, 73, 87 Multilateral Fund (MLF), 441, 446–457

N2 O emissions, 68–70 National Ozone Expedition, 161, 175, 267 NDACC, 136–142, 144–146, 148, 150–153, 361 NDSC, 135, 136, 204 Nitrogen cycle, 67 NO, 29–31, 34, 35, 40, 53, 69, 170, 175, 178, 253, 281, 282, 342, 344, 408 NO2 , 29, 30, 34, 40, 41, 53, 138, 140, 142, 144–146, 149, 161, 170, 180, 202, 206, 217, 218, 253, 266, 281–283, 370, 371, 408 NOAA, 42, 81–83, 86, 88, 89, 94, 159–163, 165, 169, 175, 187, 214, 361, 419, 463 Numerical models, 41, 85, 90, 129, 273, 274, 300, 301 Numerical transport, 255–257

O2 , 24, 26–30, 32, 34, 35, 38, 39, 41, 53, 219, 265–269, 281, 282, 309 O3 , 24, 26–30, 32, 34, 35, 39, 40, 49–51, 53, 55, 97, 149, 170, 211, 217, 219 ODIN, 141 ODS, 7, 111–113, 115, 121, 122, 127–129, 192 OMI, 94, 113, 141, 187, 195, 196, 214, 226, 350 Optimal Estimation Method (OEM), 148 OSIRIS, 141 Ozone, 4–11, 13–17, 24–30, 34, 35, 40, 41, 44–58, 74–81, 83–100, 111–116, 120–123, 125–129, 136, 137, 141, 142, 144–148, 158–166, 169–171, 201–207, 211 Ozone climate interactions, 211, 462 Ozone decline, 73, 85–91, 93, 94, 97, 98, 100, 105, 144, 192, 193, 413 Ozone depletion, 3, 7, 9, 14–16, 30, 34, 63, 84, 89, 90, 94, 96, 111, 120, 121 Ozone Depletion Potentials (ODPs), 298, 299, 301–303, 306, 307, 309–312, 314–316, 322, 425, 435, 436, 442, 447

469 Ozone hole, 15, 46, 48, 52, 58, 60, 61, 88, 92, 94 Ozone layer, 4–11, 13–16, 27, 56, 61, 76, 84–87, 104 Ozone loss, 41, 47–50, 52–56, 61, 62, 84, 89, 90, 187, 98–101 Ozone recovery, 62, 106, 115, 129, 192, 257, 274, 276, 306, 318–321, 390, 421, 462 Ozone science, 75, 84, 174, 211, 408–410, 414, 415, 422 Ozone trends, 55, 56, 79, 80, 82, 83, 86, 87, 89–91, 94, 97 Ozonesondes, 138, 157, 158, 161, 164–166, 203–205, 209

Polar stratospheric clouds, 34, 52, 115, 160, 171, 175, 222, 228, 265, 267, 275, 276, 307, 334 POLARIS, 179, 180 Prediction of stratospheric change, 401

Radiance calibration, 216–218 Radiance distribution, 365–367 Radiative transfer model, 219, 233, 306, 308–309, 367 Refrigerant, 85, 158, 194, 416, 426, 431, 434, 446, 451 Regional climate change, 291 Regional ground based data, 349 Remote sensing, 88, 138, 140, 148, 166, 184, 185, 214, 216, 344 Research programmes, 201, 207, 211, 410

SAGE, 144, 145, 395 SAGE III, 169, 179 Satellite algorithm, 185 Satellite validation, 137, 140, 141, 240, 246 SBUV, 79, 89, 113, 144, 145, 184, 185, 187, 214, 396 SCIAMACHY, 141, 150, 151, 187, 206, 214–216, 218, 221–223, 225–228, 230, 233, 247, 350 Science Supporting the Montreal Protocol, 393–402 Science/Policy Interface, 409 Scientific assessments, 90, 174 SESAME, 101, 205 SOLVE, 179, 180, 208 Sonde networks, 238 Southern Hemisphere Additional Ozonesondes (SHADOZ), 238, 242–247

470 SPARC, 258, 363, 364, 372, 393–396, 399–402 Spectral analysis, 353 Stratosphere, 14, 24, 26–35, 37–42, 44–46, 49–54 Stratosphere-troposphere dynamical coupling, 401–402 Stratosphere-troposphere exchange, 328, 402 Stratospheric constituents, (AU: Stratospheric constituents is not present in text, only Stratospheric consequences) Stratospheric models, 256 Stratospheric ozone, 13, 15, 24, 27, 28, 34, 41, 45, 54, 56, 57, 61 Stratospheric temperature trends, 396–399 Stratospheric water, 257, 328, 329, 334, 394

Third European Stratospheric Experiment on Ozone (THESEO), 101, 169, 179, 180, 207–211 Three-dimensional global chemistry-transport model (CTM), 298 TOMS, 46–49, 57–59, 61, 79, 81–83, 89–91, 93, 94 Total ozone, 45, 46, 54, 56–58, 61, 63, 74, 76, 77, 79 Trace gases retrieval, 218 Transfer of technology, 442, 450 Trend analysis, 87, 89, 90, 128, 214 Trend studies, 136, 141, 146 Tropical Climate Signatures, 237–247 Tropical climatology, 237 Tropical tropopause dehydration, 334–338

Subject Index Tropopause, 24, 31–34, 39, 42, 98, 114, 116, 129, 151 Tropospheric ozone, 129, 238, 240–244, 246, 280–285, 289, 291–294 Two-dimensional CTM, 306–307

UNEP, 13, 18, 86, 112, 192, 211, 226, 374, 378, 381, 394, 395, 402, 408, 409, 417, 419, 420, 452–455 Upper troposphere, 114, 151, 245, 246, 291, 311, 334, 339, 394 UV, 24–28, 30, 38, 39, 44–46, 55, 57–59, 74, 75, 87, 141, 153, 188, 214, 225, 233, 360, 362–365, 367, 374–376, 382 UV prediction, 359 UV radiation, 360, 362, 364, 374, 376, 378, 381, 383, 401, 408, 461 UV-A, 45, 57, 58 UVB, 57, 187, 188, 361

Validation, 137, 138, 140, 141, 169, 179, 186, 207, 209, 214, 223, 225, 231, 233, 240, 246, 401, 446 Very Short-Lived Substances (VSLS), 136, 299, 301

WMO, 13, 55, 61, 78, 80–83, 85–89, 93, 104, 105, 112, 123, 126, 127, 153, 166, 192, 211, 223, 226, 227 WO3 DC, 79, 80, 82, 83, 89, 93 World Ozone Data Centre, 78

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